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INS. tevoveortecosucecel canboessions
DEFENCE FORCE DISCIPLINE )
) No. DFDAT 4 of 1991
)
APPEALS TRIBUNAL
IN THE MATTER OF THE DEFENCE FORCE
DISCIPLINE APPEALS ACT 1955
AND
IN THE MATTER OF AN APPEAL AGAINST
CONVICTION BY GENERAL COURT MARTIAL OF
LIEUTENANT BRUCE RAYMOND VICTOR, ROYAL
AUSTRALIAN NAVY
LIEUTENANT BRUCE RAYMOND VICTOR
Appellant '
CHIEF OF NAVAL STAFF
Respondent
REASONS FOR JUDGMENT
Tribunal: The Hon. Mr Justice Northrop (President)
The Hon. Mr Justice Cox (Deputy President)
The Hon. Mr Justice Gallop (Member)
Date: 21 May 1992
Place: Sydney
DEFENCE FORCE DISCIPLINE )}
) No. DFDAT 4 of 1991
APPEALS TRIBUNAL )
IN THE MATTER OF THE DEFENCE FORCE
DISCIPLINE APPEALS ACT 1955
AND
IN THE MATTER OF AN APPEAL AGAINST
CONVICTION BY GENERAL COURT MARTIAL OF
LIEUTENANT BRUCE RAYMOND VICTOR, ROYAL
AUSTRALIAN NAVY
LIEUTENANT BRUCE RAYMOND VICTOR
Appellant
CHIEF OF NAVAL STAFF
Respondent
Tribunal: The Hon. Mr Justice Northrop (President)
The Hon. Mr Justice Cox (Deputy President)
The Hon. Mr Justice Gallop (Member)
Date: 21 May 1992
Place: Sydney
MINUTE OF ORDER
THE TRIBUNAL ORDERS:
{1} That the appeal be allowed and the conviction be
quashed.
DEFENCE FORCE DISCIPLINE )
APPEALS TRIBUNAL ) DFDAT No 4 of 1991
IN THE MATTER OF THE DEFENCE FORCE DISCIPLINE APPRALS ACT 2955
AND
IN THE MATTER OF AN APPEAL AGAINST CONVICTION BY
GENERAL COURT MARTIAL OF LIEUTENANT BRUCE RAYMOND VICTOR
ROYAL AUSTRALIAN NAVY
LIEUTENANT BRUCE RAYMOND VICTOR
Appellant
AND
CHIEF OF NAVAL STAFF
Respondent
TRIBUNAL: THE HON MR JUSTICE NORTHROP (PRESIDENT)
THE HON MR JUSTICE COX (DEPUTY PRESIDENT)
THE HON MR JUSTICE GALLOP (MEMBER)
PLACE: SYDNEY
DATE: 21 MAY 1992
REASONS FOR JUDGMENT
This is an appeal against conviction by court martial for
an offence of negligently causing or allowing a service ship
to be hazarded contrary to s.39(3) of the Defence Force
Discipline Act 1982 ("the Discipline Act").
in darkness during the early hours of the morning of 7
May 1990, the 'frigate H.M.A.S. Darwin, while engaging in
exercises with units of the USA fleet and other ships, ran
aground on a shoai off the north east coast of the-island of
Oahu, Hawaii. At the time, the appellant, Lieutenant Bruce
Raymond Victor, was the Navigation Officer on board Darwin.
On 15 February 1991 the appellant was found guilty, convicted
and reprimanded on the charge of negligently causing or
allowing the ship to be hazarded contrary to s.39(3) of the
Discipline Act.
Section 39 of the Discipline Act reads as follows:
"39. (1) A defence member who intentionally causes or
allows a service ship to be lost, stranded or hazarded is
guilty of an offence for which the maximum punishment is
imprisonment for 5 years.
(2) A defence member who recklessly causes or
allows a service ship to be lost, stranded or hazarded is
guilty of an offence for which the maximum punishment is
imprisonment for 2 years.
(3) A defence member who negligently causes or
allows a service ship to be lost, stranded or hazarded is
guilty of an offence for which the maximum punishment is
imprisonment for 6 months."
In addition to being charged with the offence under
$.39(3) of the Discipline Act, the appellant was charged with
an offence under s.35 of the Discipline Act which reads;
"35. A defence member who, by act or omission,
negligently performs a duty that he is required by his
office or appointment to perform is guilty of an offence
for which the maximum punishment is imprisonment for 3
months."
The second charge was heard by the court martial at the same
time as the first charge, but upon the appellant being found
guilty on the first charge, the second charge was not
proceeded with and the court martial did not record a finding
thereon.
The appellant has, pursuant to s.20(1) of the Defence
Force Discipline Appeals Act 1955, appealed to this Tribunal
against his conviction, but under that sub-section an appeal
is limited to a question of law "except by leave of the
Tribunal".
The offence of which the appellant was convicted was in
the following terms:
"First Charge Hazarding Service Ship
DDFD Act Between 0001 and 0445 on 7 May 1990
Section 39 while on board HMAS Darwin and off
the coast of Oahu did negligently
cause or allow the ship to be
hazarded.
Particulars
1. Failing to prepare an adequate and safe navigation
plan for use at the time and place aforesaid in the
passage of HMAS Darwin around the coast of Oahu
and/or alternatively preparing a navigation plan for
use at the time and place aforesaid which was
unsound and unsafe in that:
1.1 It failed to provide all relevant and available
hydrographic information for the assistance of
the officer of the watch and in particular
failed to specify on the chart on which the
plan was drawn:
1.1.1 The presence of a second long-range
light on Kaena Point.
1.1.2 Guidance on the possible presence of
currents off both Kaena Point and Kahuku
Points.
1.2 It utilised a planned track on course 150
degrees requiring the ship to sass within 1.5
nautical miles of a poorly defined lee shore
and within one nautical mile of shoal water at
relatively high speed.
1.3 It failed to provide the officer of the watch
any information on the times and ranges at
which it might be expected lights could he
raised or dipped.
1.4 It failed to provide any or any proper or
adequate clearing bearings and radar clearing
ranges.
1.5 It failed to provide any minimum depths to he
monitored by the officer of the watch using the
echo-sounder or otherwise.
1.6 It failed adequately or sufficiently to
identify appropriate radar conspicuous objects
or features suitable for use in fixing the
ship.
Failing to provide proper guidance and supervision
to unqualified and inexperienced officers of the
watch in the execution of the navigation plan.
Failing to provide any or any proper or sufficient
night orders to officers of the watch and principal
warfare officer to ensure the safe conduct and
passage of the ship."
The second charge on which the court martial did not
record a finding was in the following terms:
"Second Charge Negligent Performance of Duty
DFD Act Between 2000 and 0445 hours on 6 and
Section 35 7 May 1990 on board HMAS Darwin and
off the coast of Oahu did negligently
perform the duty required of him as
navigating officer in the proper and
safe navigation of the ship.
Particulars
The particulars set out in relation to the first
charge are reterred to and repeated.
Failing to ensure that the chart in use at the time,
the ship's log and officer of the watch notebook
were adequately maintained and completed.so as to
enable the ship's track to ba accurately
reconstructed".
The grounds of appeal, as amended pursuant to leave
granted on 27 November 1991, were as follows:
"dL.
That the conviction is unreasonable, or cannot be
supported having regard to the following matters of
evidences
(a) that there was no evidence or no sufficient
evidence that the appellant's conduct had
caused the ship to be hazarded; ;
(b) that there was no evidence or no sufficient
evidence that the navigation plan prepared by
the appellant was -
(i) defective;
(ii) less than the standard contemplated by the
Defence Force Discipline Act, 8.11;
{¢c) the fact that the appellant had complied with
all directions and orders given to him;
(d) his special circumstances at and prior to the
date of the incident in terms of fatigue and
duties required of him;
(e) the fact that the appellant was standing
watches in the Operations Room;
(£) the fact that the Executive Officer, an
experienced navigator, was in command and
excused the appellant from further duty prior
to the incident.
That in all the circumstances of the case the
conviction ig unsafe or unsatisfactory.
The Judge Advocate should have ruled in favour of
the submission made to him that the appellant had no
caso to answer.
The Judge Advocate should have withdrawn the
prosecution' case against the appellant at the
conclusion of the avidence.
The Judge Advocate should have ruled that the charge
sheet was bad for duplicity and oppressive."
Counsel for the appellant argued the last ground of
appeal first. It is desirable to consider ground 5 first.
Although the appellant was charged with three other
accused of the offence of negligently causing or allowing his
ship to be hazarded and the offence of negligent performance
of duty, no objection was taken to the identical charges
against the other accused on the grounds of duplicity. It is
quite clear, however, that counsel for the appellant took the
point and submitted that the prosecution should elect upon
which offence it intended to rely. That submission was
overruled by the Judge Advocate who held that the charge of
negligently causing or allowing his ship to be hazarded did
not involve any duplicity and he rejected the application.
The relevant provisions of the Discipline Act are
contained in s.66(1) and s.141A which are in the following
terms:
"66(1) Fach punishment imposed, and each order made,
by a service tribunal shall be imposed or made, as the
case may be, in respect of a particular conviction and no
other conviction."
"141A(1) Where it appears to -
(a) a summary authority, before dealing with or trying a
charge or at any stage of dealing with or trying a
charge;
(b) a convening authority, at any stage when a charge is
before him under section 103;
(c) the judge advocate of a court martial, before the
court martial tries a charge or at any stage of the
trial ot a charge; or
(d) a Defence Force magistrate, before trying a charge
or at any stage of trying a charge,
that the charge is defective, the summary authority,
convening authority, judge advocate or Defence Force
magistrate, as the case may be, shall make such amendment
of the charge as he thinks necessary unless the amendment
cannot be made without injustice to the accused person.
(2) In sub-section (1), 'amendment' includes the
addition of a charge or the substitution of a charge for
another charge."
The Defence Force Discipline Rules are quite specific,
particularly the following:
"8. (1) A charge against an accused person shall be
entered on a charge sheet.
(2) A charge sheet for the hearing of a proceeding
before a summary authority may contain more than one
charge.
(3) A charge sheet for the trial of a person by a court
martial or a Defence Force magistrate may contain more
than one charge if the offences charged -
(a) form, or are part of, a series of offences of
the same or a similar character;
(b) are founded on the same or closely related acts
or omissions;
(c) are founded on a series of acts done or omitted
to be done in the prosecution of a single
purpose; or
(d) are alternative to other charges in the charge
sheet.
(4) At the hearing of a proceeding before a summary
authority, not more than one voerson shall be charged in
che one charge sheet.
(5) At the trial before a court martial or a Defence
Force magistrate, 2 or more accused persons may be
charged in the same charge sheet with offences alleged to
have been committed by them separately if the acts or
omissions on which the charges are founded are so
connected that it is in the interests of justice that
they be tried together."
(6) Nothing in sub-rule (4) prevents a summary
authority, at the hearing of a proceeding, from directing
that 2 or more accused persons be dealt with or tried
jointly in those proceedings in respect of -
(a) an offence alleged to have been committed by
them jointly; or
(b) offences alleged to have been committed by them
separately if the acts or omissions on which
the charges are founded are so connected that
it is in the interests of justice that they be
dealt with or tried together."
"9, (1) A charge shall state one offence only.
(2) A charge shall consist of 2 parts, namely -
(a) a statement of the offence which the accused
person is alleged to have committed; and
(b) particulars of the act or omission constituting
the offence.
(3) A statement of an offence shall contain -
(a) in the case of an offence other than an offence
against the common law - a reference to the
provision of the law creating the offence; and
(b) in any case - a sufficient statement of the
offence.
(4) Without prejudice to any other sufficient manner of
setting out the statement of an offence, the statement of
an offence shall be sufficient if it is set out in the
appropriate form in the Schedule.
(5) Particulars of an offence shall contain a sufficient
statement of the circumstances of the offence to enable
the accused person to know what it is intended to prove
against that person as constituting the offence.
(6) At a trial by court martial or a Defence Force
magistrate, 2 or more accused persons may be charged
jointly in i charge of an offence alleged to have been
committed by them jointiy."
The submission on behalf of the respondent to the
appellant's objection on the ground of duplicity was the same
submission as was accepted by the Judge Advocate at the court
martial, namely that the charge stated one offence only and
therefore complied with the above statutory provisions.
Whether a statutory provision creates one or more than
one offence is a matter of construction. In Romeyko v Samuels
(1972) 19 PLR 322 at 345, Bray CJ adverted to such statutes in
the following terms:
"The true distinction, broadly speaking, it seems to me,
is between a statute which penalizes one or more acts, in
which case two or more offences are created, and a
statute which penalizes one act if it possesses one or
more forbidden characteristics. In the latter case there
is only one offence, whether the act under consideration
in fact possesses one or several of such characteristics.
Of course, there will always be borderline cases and if
it is clear that Parliament intended several offences to
be committed if the act in question possesses more than
one of the forbidden characteristics, that result will
follow."
Romeyko v Samuels was cited with approval by Woodward J in the
Australian Industrial Court in Bowling v General Motors Holden
(1975) 8 ALR 197 at 217. See also Heidt v Chrysler Australia
Ltd (1976) 26 FLR 257 per Northrop J at pp 260-261 and O'Brien
v Fraser (1990) 66 NTR 9 at pp 11-12.
As a matter of construction, s.39 of the Discipline Act
creates a number of different offences. In particular s.39(3)
creates offences of negligently causing a service ship to be
lost, negligently allowing a service ship to be lost,
negligently causing a service ship to be stranded, negligently
allowing a service ship to be stranded, negligently causing a
service ship to be hazarded, and negligently allowing a
service ship to be hazarded.
We are clearly of the opinion that the Discipline Law
Manual, Volume II, correctly reflects the proper construction
of s.39(3) under notes to the provision and under the heading
"Alternative Charges""
",,. where the principal charge alleges that the accused
negligently caused the stranding or hazarding it may be
appropriate to include an alternative charge of
negligently allowing the stranding or hazarding (as the
case may be)."
It is interesting to note that the predecessor to s.39({3)
of the Discipline Act which was s.19 of the Naval Discipline
Act 1957 (Imp) was in the following terms:
"19. Every person subject to this Act who, either
wilfully or by negligence -
(a) causes or allows to be lost, stranded or
hazarded any of Her Majesty's ships or vessels;
or
(b) causes or allows to be lost or hazarded any of
Her Majesty's aircraft,
shall be liable, if he acts wilfully or with wilful
neglect, to imprisonment for any term or any less
punishment authorised by this Act, and in any other case
to imprisonment for a term not exceeding two years or any
less punishment so authorised."
Likewise, that section was construed as creating a number of
alternative offences. In notes to s.19 in the Admiralty
Memorandum on Naval Court Martial Procedure (BR 11), which is
now obsolete, there appears:
"4. 'Causes or allows'; the ordinary dictionary meaning
must be given to these words (causes - effects or brings
about, allows - permits) except that a person is not to
be convicted of allowing an occurrence unless some act or
omission on his part has contributed to it."
The Manual of Naval Law, Chapter 8, (the successor to BR
11 and also now obsolete) construed s.19 as follows:
"8. 'Causes or allows'; the ordinary dictionary meaning
must be given to these words {causes - effects or brings
about, allows - permits) except that a person is not to
be convicted of allowing an occurrence unless some act or
omission on his part has contributed to it. The
following examples will help to illustrate the difference
between 'causes' and 'allows':
(a) if the Captain were on the bridge personally
directing operations when a disaster occurred
he should be charged with 'causing' and not
with 'allowing';
(b) if the Captain were on the bridge when some
error in an order given by the Navigation
Direction Officer caused the ship to run
ashore, 'allowing' might be the more
appropriate charge against the Captain, with
the direct charge of 'causing' the grounding
against Navigating Officer, but this must
depend on the circumstances;
(c) if a Captain were below at the time of a
disaster and the prosecution merely contend
that he ought to have been on the bridge, he
should normaily be charged under section 7 with
neglect of duty in leaving the bridge in
circumstances which should be stated, or in not
being on the bridge when he should have been;
and
(ad) if the Captain (or Navigation Direction
Officer) were to be tried for a disaster to his
ship while in charge of a pilot when a 'common
degree or attention' on his part 'would have
prevented the disaster' see RI Article 3573 a
charge of 'allowing' would be correct.
The above examples are intended merely to give general
guidance. Whether to charge the accused with 'allowing'
or 'causing' the occurrence can only be decided upon the
circumstance and merits of each particular case.
However, if during the course of a trial, it becomes
clear that a charge of 'causing HMAS ... to be lost etc'
should have been more properly drawn as allowing HMAS ...
to be lost', a court may approve the amendment of the
charge under the provisions of Article 1336. Similarly,
a court would be entitled to bring in an alternative
finding of 'not guilty of causing' but guilty of
'allowing HMAS ... to be lost' if that was its view of
the evidence - under the provisions of NDA section
68(3)(b)."
That the verbs "to cause" and "to allow" have different
meanings is fully demonstrated by reference to English and
judicial dictionaries. It is further illustrated by reference
to the authorities. Counsel for the appellant provided a list
of those authorities but it is unnecessary to refer to all of
them.
In O'Sullivan v fruth and Sportsman Limited (1956) 96 CLR
220, the High Court had to consider in a statutory provision
the words "cause to be offered for sale". After reviewing
some of the earlier English authorities, the High Court (Dixon
CJ, Williams, Webb and Fullagar JJ) said at p 228:
"On the authority of these cases in the article on
Criminal Law in Halsbury's Laws of England, 3rd ed., vol
10, par 519, p 279, what amounts to causing is laid down
as a proposition of law as follows: 'If the charge is of
causing an act to be done it must be shown that the
accused had knowledge of the facts (Lovelace v Director
of Public Prosecutions (1954) 3 All ER 481; (1954) 1 WLR
1468). Before a man can be convicted of causing he must
be in a position of dominance and control so as to be
able to decide whether the act should be done or not
(Shave v Rosner (1954) 2 QB 113); Lovelace v Director of
Public Prosecutions (1954) 3 All ER 481; (1954) 1 WLF
1468)'. This appears to mean that when it is made an
otfence by or under statute for one man to 'cause' the
doing of a prohibited act by another the provision is not
to be understood as referring to any description of
antecedent event or condition produced by the first man
which contributed to the determination of the will of the
second man to do the prohibited act. Nor is it enough
that in producing the antecedent event or condition the
first man was actuated by the desire that the second
should be led to do the prohibited act. The provision
should be understood as opening up a less indefinite
inquiry into the sequence of anterior events to which the
forbidden result may be ascribed. It should be
interpreted as confined to cases where the prohibited act
is done on the actual authority, express or implied, of
the party said to have caused it or in consequence of his
exerting some capacity which he possesses in fact or law
to control or influence the acts of the other. He must
moreover contemplate or desire that the prohibited act
will ensure."
The meaning of "to allow" has been discussed in other
authorities which demonstrate that to allow a thing to be done
or omitted there must be some direct or indirect sanction of
it. See, for example, DeKuyper v Crafter [1942] SASR 238.
Richards J referred to the definition of the word in Stroud's
Judicial Dictionary and went on to observe that to allow is at
least as wide as to permit, if not wider.
In Gilbert v Guiliver {1918] VLR 185 at 189 Cussen J said
that ordinarily speaking, before a person can be said to
"allow" anything, there must be something in the nature of
actual knowledge or connivance or in some cases extensive
delegation of authority. Cussen J went on to observe that the
meaning of the word "allow" may vary having regard to the
circumstances and in some cases to the class of enactment in
which it is found.
What is clear from all the authorities is that "to cause"
and "to allow" have different meanings. As stated earlier,
the different meanings are recognised in the Discipline Law
Manual, Volume I, in the examples of specific offences against
s.39 of the Discipline Act and the reference to the behaviour
of the accused consisting of something done by him or a
failure by him to act.
The submission on behalf of the appellant is correct,
namely that the word "cause" refers to an act or actions or
antecedent conditions which bring about or produce in a
positive sense a certain effect or consequence, whereas the
word "allow* refers to permitting or standing by as someone
else causes that effect or consequence.
Where an offence is charged in the alternative there is
duplicity (Cotterill v Lempriere (1890) 24 QBD 634). It isa
fundamental rule that the conviction itself shall be free of
duplicity (Iannella v French (1968) 119 CLR 84; Burton v
Samuels (1973) 5 SASR 201).
Accordingly, the first charge against the appellant that
he did negligently cause or allow the ship to be hazarded
contrary to s.39(3) of the Discipline Act and the conviction
recorded on that charge were both bad for duplicity.
We turn to consider what the consequences are and whether
the ccnviction must be set aside. The statutory prohibition
in x.3 of the Defence Force Discipline Rules that a charge
shail state one offence only is not a mere matter of pleading.
A contravention of that prohibition is positively illegal.
The history of statutory provisions such as r.9 was
expounded by Isaacs CJ in Munday v Gill (1930) 44 CLR 38 at pp
62 et seq. Isaacs CJ, after referring to decided authorities,
observed that trying an accused person for many different
offences is not a matter of mere irregularity and that a
provision there under consideration (s.57 of the Justices Act
1902 (NSW)) in similar terms to r.9 separates offences from
first to last by the necessary implication of its prohibitory
words.
Apart from statutory prohibition, it is well settled law
that but one offence can be proved under one charge. Except
to prove intent or system or to exclude accident or mistake,
evidence that an accused person committed other like offences
is seldom relevant to the issue of guilt. That is the reason
that a prosector can be compelled to specify which act is the
subject of the charge.
In Johnson v Miller (1937) 59 CLR 467 Dixon J (as he then
was) said at p 489 that a prosecutor clearly should be
required to identify the transaction upon which he relies and
he should be so required as soon as it appears that his
complaint, in spite of its apparent particularity, is equally
capable of referring to a number ot occurrences each of which
constitutes the offence the leqal nature of which is described
in the complaint. For a defendant is entitled to be apprised
not only of the legal nature of the offence with which he is
charged, but also of the particular act, matter or thing
alleged as the foundation of the charge.
In the same case, Evatt J agreed that in dismissing a
complaint on the ground that it was defective in substance and
that the defendant was prejudiced by the defect, the
magistrate was warranted by law in acting as he did apart from
any statutory provision. Evatt J. approved the observations
of Napier J in Tucker v Noblet (1924) SASR 326 at p 340 that
at the outset of the hearing the prosector may be called upon
to select his charge and particularise his complaint and that,
in the absence of the necessary information and as a last
resort, the Court has inherent power to dismiss the complaint.
The ultimate sanction is and must be dismissal of the
complaint.
In Ex parte Graham; Re Dowling (1968) 88 WN(Pt 1) NSW 270
at 282, Asprey JA extended the operation of the prohibition in
s.57 or the Justices Act 1902 to cases where evidence is led
to prove conduct which comprises a continuity of action or a
series of connected acts. He said that in cases of this type
where the evidence adduced bases both proof of conduct of the
kind so described, and calls upon a defendant to answer two or
more separate offences upon the single information, a
conviction upon the offence charged in the information is bad.
The case under consideration was a charge of negligent driving
where the prosecution sought to prove three different
incidents as constituting one continuing offence. But for
present purposes, Ex parte Graham: Re Dowling confirms that a
failure to comply with a statutory requirement in terms
prohibiting a charge stating more than one offence is not a
mere irregularity and if a conviction thereon is recorded, it
must be held bad for duplicity and set aside.
The authorities even go so far as to assert that such a
conviction must be set aside by an appellate court even though
the point was not taken by the appellant at the trial (see,
for example, Rex v Molloy (1921) 2 KG 364).
The appellant's conviction for an offence of negligently
causing or allowing his ship to be hazarded is wrong in law
and a substantial miscarriage of justice has occurred.
Having come to that conclusion, the question arises as to
what should be done. In this regard the provisions of sub
s.23(1) and s.24 of Defence Force Discipline Appeals Act are
relevant. Those provisions are as follows:
"23. (1) Subject to subsection (5), where in an appeal
it appears to the Tribunal:
(a) that the conviction or the prescribed acquittal is
unreasonable, or cannot Se supported, having regard
to the evidence;
(Db) that, as a result of a wrong decision on a question
of law, or of mixed law and fact, the conviction or
the prescribed acquittal was wrong in law and that a
substantial miscarriage of justice has occurred;
{c) that there was a material irregularity in the course
of the proceedings before the court martial ox the
Defence Force magistrate and that a substantial
miscarriage of justice had occurred; or
(d) that, in all the circumstances of the case, the
conviction or the prescribed acquittal is unsafe or
unsatisfactory;
it shall allow the appeal and quash the conviction or the
prescribed acquittal."
Sub-section (5) has no relevance to this appeal.
"24, Where the Tribunal quashes a conviction, or a
prescribed acquittal, of a person of a service offence,
the Tribunal may, if it considers that in the interests
of justice the person should be tried again, order a new
trial of the person for the offence."
For the reasons already given, and as a result of the
wrong decision on a question of law, the appellant's
conviction for an offence of negligently causing or allowing
his ship to be hazarded is wrong in law and a substantial
miscarriage of justice has occurred. Accordingly, the appeal
should be allowed, the conviction quashed and the penaity set
aside. It remains to consider whether in these circumstances
and in the interests of justice, the appellant should be tried
again. On the facts of this case, this is not an easy
question to determine.
Whilst s.24 of the Defence Force Discipline Appeals Act
1955 provides a very wide discretion and is in different
language to the provision considered by the High Court in DPP
(Nauru) v Fowler (1984) i154 LR 627, we think it not
inappropriate in this case to apply the test propounded by the
High Court. The dominant consideration remains the interests
of justice. In the judgment of the Court it was said (at p
630):
"The power to grant a new trial is a discretionary one
and in deciding whether to exercise it the court which
has quashed the conviction must decide whether the
interests of justice require a new trial to be had. In
so deciding, the' court should first consider whether the
admissible evidence given at the original trial was
sufficiently cogent to justify a conviction, for if it
was not it would be wrong by making an order for a new
trial to give the prosecution an opportunity to
supplement a defective case ... Then the court must take
into account any circumstances that might render it
unjust to the accused to make him stand trial again,
remembering however that the public interest in the
proper administration of justice must be considered as
well as the interests of the individual accused."
In the present case, if the appellant had engaged in
conduct which could constitute an offence against s.39(3) of
the Discipline Act, he should stand trial for the offence
according to law, but on the facts of this case, there are
strong reasons why, in the interests of justice, the Tribunal
should not order a new trial.
It must be remembered that the offence for which the
appellant was charged was bad in law. If a new trial is
ordered, it is not clear with what offence the appellant will
be charged. Tt is not clear whether he will be charged with
more than one offence under s.39 of the Discipline Act. It is
not clear whether he will be charged again with an offence
against s.35 of the Discipline Act. It is not clear what
particulars would be given to any charge laid. Reference has
already been made to Rule 9 of the Defence Force Discipline
Rules. It must be remembered that the purpose of particulars
is to inform the person charged of "the particular act, matter
or thing alleged as the foundation of the charge"; see Johnson
v Miller (1937) 59 CLR 467 per Dixon J. at 489. Thus,
particulars have a twofold effect. First, they notify the
person charged of the facts alleged which are said to
constitute the offence charged, and second, they limit the
evidence to be given to the proof of facts that are relevant
to proving the offence charged. In the absence of any offence
charged and in the absence of particulars, it is difficult for
the Tribunal to form any opinion on the substantive matters
argued on the appeal. It is clear, however, that the
essential nature of the offence relates to an allegation that
the appellant negligently hazarded a service ship. The
Tribunal considers it necessary to consider some aspects of
this issue in order to determine whether, in the interests of
justice, it should order a new trial.
The Discipline Act was assented to on 31 December 1982.
Parts I and XI, which are not relevant for these purposes,
came into operation on that day, but the substantive
provisions did not come into operation until 2 July 1985. The
long title to the Discipline Act is "An Act relating to the
discipline of the Defence Force and for related purposes". In
substance, the Discipline Act in many respects constitutes a
code of the law relating to criminal offences by members of
the Australian Defence Force. Thus in the Discipline Act, a
distinction is made between an offence under that Act and what
is described as an "old system offence" which, under s.3 is
defined as meaning "'an offence under previous service law that
was committed by a member of the Defence Force at any time
during the period of three years that ended on the day
immediately before the proclaimed date", namely 2 July 1985.
In the same section, the phrase "previous service law" is
defined to mean a miscellany of laws relating to criminal
offences by members of the Defence Force in operation at any
time during the period of three years that ended on the day
immediately before the proclaimed date. It must be remembered
that the provisions of the Discipline Act are to be applied.
In cases of ambiguity it can be helpful to consider earlier
statutory provisions and legal authorities but the clear words
of the code must be given their proper effect. At the same
time it is noted that the Discipline Act appears to equate
service offences with criminal offences tried in the civil
courts. Thus the jurisprudence of criminal law in its
application to trials in civil courts may now have more
relevance in the consideration of service offences than it did
when service offences were considered within the jurisprudence
applicable to military law. Under the latter jurisprudence,
there appeared to be accepted a principle that if a service
ship ran aground on a charted reef or shoal, of necessity, the
navigating officer negligently caused or allowed the ship to
be hazarded or, by act or omission, negligently performed a
duty required of him as navigation officer in the proper and
safe navigation of the ship. This type of quasi presumption
of guilt can have no place in the jurisprudence of criminal
law in its application to trials in civil courts. At the same
time, under the Discipline Act, a system exists which provides
for the review of convictions and penalties imposed by service
tribunals, a system which is foreign to the practice and
procedures of criminal trials in civil courts.
The Discipline Act is lengthy and covers a wide range of
matters from criminal liability, offences, punishments,
investigations of service offences, procedures, service
tribunals, review of proceedings of service tribunals and
other matters. Part II of the Act comprises sections 10 toa 14
and is headed "Criminal Liability". Section 10 provides that
the principles of the common law with respect to criminal
liability apply in relation to service offences. Hence the
doctrine of duplicity at common law has application, as well
as the specific Defence Force Discipline Rules mentioned
earlier in these reasons. Section 12 makes it clear that ina
proceeding before a service tribunal, the prosecution has the
onus of proving a service offence "beyond reasonable doubt".
Under s.11(2) where a member of the Defence Force is charged
with a service offence arising out of activities upon which
the member was engaged in the course of his duty, a service
tribunal, in deciding whether the member, by act or omission,
behaved negligently, is required to have regard to the
standard of care of a reasonable person, the tribunal shall
have regard to the standard of care that would have been
exercised by a reasonable person who:
""(a) was a member of the Defence Force with the same
training and experience in the Defence Force or
other armed force as the member charged; and
(b) was engaged in the relevant activities in the course
of his duty or in accordance with the requirements
of the Defence Force, as the case may be."
Part III, comprising sections 15 to 65 of the Discipline
Act is headed "Offences". Many services offences are created
under Part III. Section 35, which has been set out earlier in
these reasons, is within Division 4 of Part III. That
Division is headed "Offences relating to performance of duty"
and a reference to the penalty attached to s.35, shows that it
is a less serious offence than those created by s.39. It is
noted that that section refers to a defence member "who, by
t
act or omission, negligently performs a duty ...".
Section 39 comes within Division 5 of Part III of the
Discipline Act. That Division is headed "Offences relating to
ships, vehicles, aircraft, weapons or property". In all
probability 18 separate offences are created by that section
ranging in seriousness from intentionally. causing (or
allowing) a service ship to be lost (or stranded or hazarded)
to recklessly and to negligently causing (or allowing) a
service ship to be lost (or stranded or hazarded). The
present case relates to negligently causing (or allowing) a
service ship to be hazarded. The maximum punishment is
imprisonment for six months. It is noted that on a charge for
an offence under sub-sections 39(1) and (2) a defence member
may be convicted of an alternative offence pursuant to s.142
and Items 21 and 22 of Schedule 6 of the Discipline Act but
there is no provision for a conviction for an alternative
offence where a defence member is charged with an offence
under s.39(3).
Although under sub-section 39(3) the maximum penalty that
can be imposed is imprisonment for six months, the service
tribunal, in this case the court martial, has power to impose
a lesser penalty. Section 68 of the Discipline Act lists the
punishments that may be imposed by a service tribunal in
decreasing order of severity. Some 13 punishments are listed,
the least severe being a reprimand. In the present case, the
penalty imposed on the appellant was a reprimand. For present
purposes, it is not necessary to consider the extent of the
obligations imposed by s.70(1l)(a) of the Discipline Act and
the applicability of s.16A of the Crimes Act 1914 and the
nature of the powers conferred by s.
, 58 of the Discipline Act,
but it is noted that one of the officers charged with the
offence of negligently causing or allowing HMAS Darwin to be
hazarded was found guilty by the court martial of that offence
and a conviction recorded without punishment; see s.75.
Earlier in these reasons the Tribunal said that the
essential nature of the offence with which the appellant was
charged relates to the allegaticn that the appellant
negligently hazarded a service ship. The word "hazarded" is
not defined in the Discipline Act. In s.39, the word
"hazarded" is used in contra-distinction to the words "lost"
and "stranded". In this context, the word "hazarded" seems to
have a more general meaning than the other two words. The
relevant meaning given to the word "hazard" in the Shorter
Oxford Dictionary, whén used as a verb, is to expose to hazard
or risk, to endanger (any person or thing). When used as a
noun, hazard is defined to mean risk of loss or harm, peril,
jeopardy. Usually, the word is associated with a game of
chance, or gaming. The adjective "hazardous" has the
connotation of being fraught with hazard or risk, perilous.
In its context in s.39, the word "hazarded" is to be construed
as Meaning exposing the service ship to risk, endangering the
service ship, exposing the service ship to the risk of loss or
harm or peril or placing the service ship in jeopardy. On the
facts of this case, therefore, the fact that HMAS Darwin ran
aground of itself is not determinative of the allegation that
the appellant hazarded a service ship. The prosecutor was
fully aware of this. Thus the offence with which the
appellant was charged was that between 0001 and 0445 on 7 May
1990, while on board HMAS Darwin and off the coast of Oahu did
negligently cause or allow the ship to be hazarded. Darwin
ran aground at about 0427 hours on 7 May 1990. The offence
charged was of a continuing nature, but limited to the times
specified.
edt
ct
is neither necessary nor desirable to refer to the
evidence in any detail. The court martial extended over some
20 days and the transcript of the proceedings before the court
martial, excluding the parts relating to pleas in mitigation
of punishment, comprises 2906 pages. In addition there were
many exhibits before the court martial. The court martial
heard and determined the charges against the appellant and at
'the same time, heard and determined charges against three
other officers of HMAS Darwin all arising from the same series
of events. This added to the length and complexity of the
court martial. The commanding officer of Darwin was convicted
of the following offence:
"Between 2359 and 0445 on 7 May 1990 while on board HMAS
Darwin and off the coast of Oahu did negligently cause or
allow the ship to be hazarded".
The executive officer of Darwin was convicted of the following
offence:
"Between 0001 and 0445 on 7 May while on board HMAS
Darwin and off the coast of Oahu did negligently cause or
allow the ship to be hazarded."
With respect to each of these officers, upon the conviction
being recorded, an alternative charge under s.35 of the
Discipline Act was not proceeded with. The third officer was
the principal warfare officer on watch in the operations room
during the crucial watch. He was charged as follows:
"Between 0200 and 0445 on 7 May 1990 while on board HMAS
Darwin and off the coast of Oahu did negligently cause or
allow the ship to be hazarded."
He was charged also with the alternative charge under s.35 of
the Discipline Act. At the end of the case for the
prosecution, each of the charges against him was dismissed.
For some days before 7 May 1990, Darwin had been engaged
in the naval exercises known as Operation Rimpac. As a
result, many of the officers on board Darwin had spent long
periods on duty and long periods without rest or sleep. In
particular, this applied to the commanding officer of Darwin
and to the navigation officer, the appellant. In addition it
was contended that the commanding officer had relieved the
appellant of many of his duties as navigation officer to
enable him to undertake and perform duties as principal
warfare officer in the operations room. It was to he expected
that because of the duties admittedly being performed by the
appellant as principal warfare officer, he was not expected,
or for that matter, able, to perform many of the duties
normally imposed upon a navigation officer. In fact, the
appellant had been on duty for some nine hours in the
Operations room before 0200 hours on 7 May 1990.
At about 1930 hours on 6 May 1990, Darwin was well to the
west. of the isiand of Oahu. She had been directed by the
command ship, USS Missouri, to engage in a mission as a silent
covert unit ahead of the main force. She was to attempt to
remain undetected by the "enemy" and to be a target reporting
unit for the other friendly ships against any enemy amphibious
group expected to be in the area off Bellows Beach at dawn on
7 May 1990. Bellows Beach is on the eastern side of Oahu
Island towards the southern end of the island. It is to the
south of Mokapu Peninsula which extends to the north and east
of Bellows Beach. At the same time, care had to be taken to
avoid detection by other "enemy" ships which might be in any
area around the island.
Having regard to the tactical position, the appellant was
required to prepare a navigation plan to have Darwin off the
east coast of the island near the Mokapu Peninsula at dawn on
7 May. If possible, Darwin had to remain undetected by the
"enemy". The appellant prepared the navigation plan while on
duty as principal warfare officer in the operations room. The
plan was approved and ratified by the commanding officer and
the executive officer. The plan brought Darwin close to the
island. The plan which forms the basis of the charge against
the appellant is charted on United States Chart 19357, being a
chart of the island of Oahu in Hawaii. Apparently, there may
be differences between the British Admiralty Chart of the area
and the United States Chart, but for present purposes nothing
turns on these differences.
The navigation plan prepared by the appellant showed the
approach course on Chart i9357 as Darwin came close to the
western coast of Oahu. The navigation plan showed the
shallow water being the 10 fathoms line, by hatching, and the
existence of lights that could be used for the taking of
bearings. Areas for the use of echo soundings were shown and
areas for sector radiating were also marked. This was done in
an attempt to avoid detection by other ships in the vicinity
and the sector radiating was towards the land only. The
lights were shown by a circle with lines radiating from the
circumference of the circle. The watchkeepers were directed
to take fixes every six minutes. The course to be followed
was marked and the bearing to take on each course was denoted.
Essentially the plan provided for Darwin to keep close to the
shoreline but well clear of the 10 fathoms line. The course
to be followed once Darwin came close to the shore of the
island was to sail on a generally north-westerly course to a
point west of Kaena Point which is the most westerly point of
the island and near the northern most point of the island;
then on a generally north-easterly course for a short distance
to round Kaena Point; then on a more easterly course followed
by a north~-easterly course to hug the north-west shore of the
island to a point north-west of Kahuku Point being the
northern most point of the island; then on an easterly course
to pass the northern part of the island and then on a
generally south-easterly course at 150 degrees towards Mokapu
Peninsula. Lights were marked on the chart at Kaena Point, on
a radio mast just south-east of Kaena Point, a stack at
Waialua about half way along the north-west coast of the
island, and a stack at Kahuku a short distance to the south
east of Kahuku Point and at Pyramid Rock on the north-west end
of the Mokapu Peninsula. There was some suggestion at the
court martial that a light marked on the chart as being an
aero beacon south of the Pyramid Rock light should have been
marked but was not and that this could have caused confusion
to the officers on the watch. No further comment is made on
this aspect. In fact the navigation plan was departed from in
major respects because of the exigencies of the tactical
situation.
The commanding officer had retired to sleep and had
placed the command of the ship in the executive officer. The
executive officer was working in the war-room as well as on
the bridge. The appellant was working mainly in the war-room
but between 0001 and 0218 on 7 May he spent about half an hour
on the bridge where he discussed the chart with the then
officers of the watch and checked three fixes taken at the six
minute intervals between 0200 and 0218. He was then given
permission to retire to his cabin ta rest having been on duty
continually for a very long time. He remained in his cabin
until the time Darwin grounded.
Darwin sailed further to the west of the island than the
navigation plan showed. This was done for the purpose of
picking up her helicopter which had been despatched for
observation purposes. She then kept well away from the
navigation plan until she was due to commence the east course
at the north of the island. it appears that there was some
confusion by the officers of the watch in fixing the actual
position of Darwin and from a reconstruction it appears that
when Darwin was on the east course north of Kahuku Point she
was closer to shore than the navigation plan permitted and
that she turned to the 150 degree course before reaching the
point at which she should have so turned. As a result Darwin
came in much closer to the north-east shore of the island and
struck the shoal. She received damage but was able to float
free from the grounding.
Of necessity, this outline of the facts does not give a
complete picture. No reference is made to other matters which
formed a large part of the evidence before the court martial.
For example, the duties of a navigation officer and the facts
relevant to particulars 2 and 3 of the particulars to the
charge under s.39 of the Discipline Act are not discussed.
Difficult questions in relation to causation, whether of
negligently causing a service ship to he hazarded or of
negligently allowing a service ship to be hazarded are not
discussed. The relationship between negligently hazarding a
service ship and negligently stranding a service ship is not
discussed. The concept of negligence in this context is not
discussed. It is noted that the commanding officer and
executive officer were each found guilty and convicted of an
offence essentially the same as that of the appellant, but the
different time span mentioned in the charge against the
commanding officer is difficult to understand. In any event,
the navigation plan prepared by the appellant extended beyond
the olan drawn on Chart No 19357. The plan brought Darwin
towards the island of Oahu and then provided for the course
around the island which commenced at about 0200 hours. The
particulars to each of the charges against the two senior
afficers were essentially the same as against the appellant
except in particular 1 reference was made to examining the
navigation plan, not preparing the plan. In addition to
particulars 1, 2 and 3, additional particulars were given with
respect to the other two officers, but the essence of the
particulars was the same.
A vreference to the particulars given to the charge
against the appellant illustrates very starkly the
difficulties caused to him in having to answer a charge which
was bad for duplicity. As discussed earlier in these reasons,
the words "to cause" and "to allow" have different meanings.
It is not clear whether the particulars given should he
treated as relating to "to cause" or "to allow". In the
opening paragraph of particular 1 the use of the words "and/or
alternatively" creates difficulties. At no stage was there
any doubt that the appellant had prepared the navigation plan.
Insofar as it was relevant, that particular should have been
given and further particulars should have been given of the
fact that that plan was causally connected with negligently
causing (or allowing) the service ship to be hazarded.
Further particulars of the hazarding should have been given,
put this, to some extent, depends upon the link or causation
between the plan as prepared, possibly as executed, and also
other factors as contained in the particulars. Particulars 2
and 3 are not directly related to the plan but to other
aspects of the duties of a navigation officer. All these
observations illustrate the difficulties arising in charging a
defence member with a service offence of the kind referred to
in s.39 of the Discipline Act particularly having regard to
the equating of service offences with criminal offences to be
tried in civil courts. These observations illustrate further
the difficulties facing the appellant in attempting to answer
a charge which was bad for duplicity.
In all the circumstances of this appeal, the Tribunal
does not consider that in the interests of justice, the
appellant should be tried again. The commanding officer and
the executive officer of HMAS Darwin have both been convicted
of negligently causing or allowing the ship to be hazarded.
Neither objected to the charges as being bad for duplicity.
Neither has appealed against the conviction. The appellant
has had to face a long and difficult trial. His objection to
the charge being bad for duplicity was not accepted by the
prosecutor who could have sought leave to allege the two
charges of causing or allowing to be made in the alternative.
Instead he contended that the charge specified one offence
only. The Judge Advocate rejected the objection made by
counsel for the appellant and wrongly ruled in favour of the
prosecutor's submission. As a result the appellant was faced
with great difficulties in defending the one bad charge
brought against him in which it was not clear just what
particulars were relevant. The appellant should not he
required to face another charge or charges which cannot be
identified at this stage.
There are other circumstances which would render it
unjust to the appellant to make him stand trial again. It is
to be noted that upon conviction, the penalty imposed was the
most lenient penalty available for the alleged offence, namely
a reprimand. It was not disputed that on the happening of the
grounding the appellant was immediately removed from his ship
and has not had the opportunity to undertake navigation duties
since. It was submitted, and there was no contrary
submission, that the appellant may have lost his career as a
navigator regardless of the result of this appeal. Having
regard to those matters, the expense involved in the retrial
of a complex matter, and the stress which the appellant would
be obliged to undergo, it would be disproportionate to the
service interest in the public administration of justice to
order a new trial.
During the course of submissions, some reference was made
to the provisions of s.26 of the Defence Force Discipline
Appeals Act. Those provisions are as follows:
"26. (1) Where the Tribunal quashes the conviction of a
person Of a service offence (in this section referred to
as 'the original offence') but considers -
(a) that the court martial or the Defence Force
magistrate could in the proceedings have found the
person guilty of another service offence, being -
(i) a service offence that is an alternative
offence, within the meaning of section 142 of
the Defence Force Discipline Act 1982, in
relation to the original offence; or
(ii) a service offence with which the person was
charged in the alternative and in respect of
which the court martial or the Defence Force
magistrate did not record a finding; and
(b) that the court martial or the Defence Force
magistrate, by reason of its or his finding that the
person was quilty of the original offence, must have
been satisfied beyond reasonable doubt of facts that
prove that the person was guilty of the other
service offence,
the Tribunal may substitute for the conviction of the
original offence a conviction of the other service
offence.
Sub-sections (2) and (3) deal with matters affecting
punishment."
Although not at the forefront of the submissions made by
counsel for the respondent, it was suggested that if the
appeal was successful and the conviction quashed, the Tribunal
should exercise the power conferred by s.26(1)(a)(ii) and (b).
In these reasons, the charge under s.39 of the Discipline Act
has been referred to at times as the first charge and the
charge under s.35 has been referred to as the second charge.
Applying the facts of the charges to s.26 of the Defence Force
Discipline Act, the first charge is the original offence and
the other service offence is that alleged in the second
charge. On the facts of this appeal, the Tribunal has quashed
the conviction of the appellant of the first charge, being the
original offence, on the basis that the charge was bad for
duplicity. The defect in the first charge resulted in the
fact that the Tribunal was not required, and in fact could
not, consider the other grounds of appeal. Before exercising
the vower conferred by s.26, of the Defence Force Discipline
Act, the Tribunal must consider that the court martial could,
in the proceedings, have found the appellant guilty of the
second charge, and that the court martial by reason of its
finding that the appellant was guilty of the first charge
"must have been satisfied beyond reasonable doubt of facts
that prove" that the appellant was guilty of the offence
alleged in the second charge.
The terms of the second charge have been set out earlier
in these reasons. They contain their own difficulties. The
charge alleges that the offence occurred between 2000 and 0445
hours on 6 and 7 May 1990, a much longer period than that
alleged in the first charge. The same particulars are given,
but as observed earlier in these reasons, those particulars
contain their own difficulties. Normally, particulars to a
charge based on s.35 of the Discipline Act should state the
crelevant duties that a defence member is required by his
office or appointment to perform and then the facts, whether
acts or omissions which, it is alleged, constitute the
negligent performance of these duties. The particulars given
with respect to the second charge do not appear to be
adequate, but no submissions were directed to this aspect of
the charge.
In these circumstances, the Tribunal has doubts whether
the court martial could have found the appellant guilty of the
second charge. Of more importance, the Tribunal has very
grave doubts whether the court martial, by reason of its
finding that the appellant was guilty of the first charge,
must have been satisfied beyond reasonable doubt of facts that
prove the appellant was guilty of the second offence. Since
the first charge was bad for duplicity, the appellant should
not have been required to plead to it. The hearing of this
charge, which was bad, constituted a material irregularity in
the course of the proceedings before the court martial and so
tainted the whole of the trial that it is not possible to be
satisfied that the court martial by finding that the appellant
was guilty of the first charge, must have been satisfied
beyond reasonable doubt of facts that prove the appellant was
guilty of the second charge. Accordingly, the Tribunal shouid
not exercise the power conferred by s.26 of the Defence Force
Discipline Act.
In the result, the Tribunal allows the appeal and quashes
the conviction.