REFORM OF CRIMINAL TRIAL PROCEDURE





Dietrich and the Appropriate Way
to Deal With Related Applications

Nunzio LaRosa,
Managing Solicitor,
Victoria Legal Aid





In the documentation provided to assist in the preparation of this paper, I noted that "the paper will seek to identify the appropriate boundaries for executive and judicial action in relation to the indigent defendant"; further it will consider "whether the trial judge should be involved in determining indigence." "The experience with s.360A of the Victorian Crimes Act" is to be commented on. Finally, the question of whether "the person determining indigence should have a say in the level of representation to be provided" may be addressed. If this paper brings together all the varied views on the matter at hand, it will have achieved something. If it stimulates debate, which in turn assists in arriving at some consensus of how best to deal with the problems that arise, then it has achieved its purpose.

An appropriate starting point in this discussion should be the case of Dietrich[1] itself, or possibly the law in Australia just prior to that decision. As Deane, J. stated in Dietrich,

"it is true that ..... past practice in this country has been to force a person accused of a serious crime to trial, notwithstanding that, by lack of means, he is unable to obtain legal advice or representation."[2]

Certainly in Victoria in the late 1980's and early 1990's, a number of cases spring to mind (Dietrich, Cunningham) where an accused has been unrepresented and been forced to proceed with the trial, with devastating results to the Criminal Court lists, and the subsequent appeals to the Full Court (as it was then), and no doubt other jurisdictions have had similar experiences.

What then did the case of Dietrich decide? The now well quoted passage of the majority states:
".....the approach which should be adopted by a Trial Judge who is faced with an application for an adjournment or a stay by an indigent person charged with a serious offence who, through no fault on his or her part, is unable to obtain legal representation should be that ... in the absence of exceptional circumstances, the trial should be adjourned, postponed or stayed until legal representation is available. If, in those circumstances, an application that the trial be delayed is refused and, by reason of the lack of representation of the accused, the resulting trial is not a fair trial, any conviction of the accused must be quashed by an appellant court for the reason that there has been a miscarriage of justice in that the accused has been convicted without a fair trial."[3] (my italics).

The High Court specifically rejected the proposition that an accused had a right to representation at the public expense; rather, it recognised that an accused person has a positive right to a fair trial, or more correctly stated, to a trial that is not unfair. Accordingly, if in all the circumstances of the particular case, lack of representation would mean that an accused is unable to receive such a trial, then the Court should use its inherent jurisdiction to stay the proceedings.[4]Such a finding is, however, inextricably linked to the facts of the case and the background of the accused.

So stated, the principle is simple enough, yet it is the resultant difficulties encountered in the implementation of that principle that have presented difficulties in the administration of criminal justice in the various jurisdictions. In a country where the vast majority of criminal trials are dependent on the provision of a definitely finite amount of "public expense" (otherwise known as legal aid funds), the tension between the Court's desire to ensure that accused are represented and accorded a fair trial, and the attempts by legal aid bodies to keep some measure of control on the amount of monies spent in the defence of criminal charges in the superior courts, is evident. Experience has shown that trials involving unrepresented accused are invariably longer, as the mechanisms available to shorten the criminal trial process cannot be utilised (eg: admissions as to facts and issues, leading of witnesses, etc.), the risk of aborted trials are increased, and the appeal path is inevitably trodden; systemically, a disaster. However, the mechanism to avoid such a situation, as outlined in Dietrich, is for the Court to stay proceedings. The result is that the trial process is thwarted and, unless funding is made available to the indigent unrepresented accused, no trial is had. This is a situation that no government will accept, nor should it, as the wider community including victims as witnesses, also has an interest in seeing the criminal justice system work. Therein lies the dilemma.

Turning to the issue of the respective roles of the Courts and Legal Aid Commissions, and the appropriate boundaries of executive action (through such funding bodies) and judicial action, what is the current state of affairs? Governments, through legislation, have created the various legal aid bodies in the States and Territories, and through those bodies, the legal aid funds are controlled and administered. Each has an obligation, however phrased, to deal with the fund in an efficient and economic manner. To that end, guidelines have been developed, dealing with both issues of "means" and "merit". Currently, there exists a national means test, which governs the eligibility of an accused to legal assistance, and is the threshold to a grant of assistance.

A legal aid body is obliged to be satisfied as to an accused's eligibility for legal assistance before making a grant of assistance. If an accused satisfies the legal aid body that he/she is without sufficient funds (as per the means test), then there would be little or no argument that the aspect of indigence would be made out. The problem that arises in this regard is whether it is appropriate to utilise such a test, set by a non-judicial administrative agency, as being determinative of an issue so close to the heart of the requirement of a fair trial.

The two opposing views are simply stated: on the one hand, the view that the legal aid commissions' means test is the appropriate test of indigence, and on the other hand, that such a matter is so important that, in the particular circumstances of each case, it should be a matter for the Court to determine. Should the former position hold sway, which seems to be the starting position of the Working Party on White Collar Crime Reform[5], the Court will be required to permit its processes to be used in situations where it is of the view that a fair trial cannot be had for an accused in a particular case, a position it would find untenable. The main argument in favour of this position would appear to be an economic one that is, that the Court is not responsible for the economic consequences of any decision it might make.  The contrary view, advanced by the Working Group on Criminal Trial Procedure[6] and the Law Council of Australia[7], is that the Court should be left to supervise its own processes and that the fundamental principle of a fair trial can only be properly guarded by a watchful and responsible Court.

Presently, all jurisdictions appear to follow the latter view, no legislation having been passed which seeks to impose a means test guideline as a qualifying test to obtaining of a fair trial, Speaking from the experience in Victoria, particularly since the 1998 amendments to s.360A of the Crimes Act 1958 (Victoria), the situation is one of review by the Court of the decision of Victoria Legal Aid. The relevant provision in Victoria is s.360A, which reads as follows:

S. 360A         Adjournment or stay of trial

(1)    Subject to sub-section (2) and despite any rule of law to the contrary, if
    (a)    a person is committed for trial; or
    (b)    a presentment has been filed -
the fact that an accused has been refused legal assistance in respect of a trial is not a ground for an     adjournment or stay of the trial.

(2)    If a court is satisfied at any time before or during the trial that -
    (a)    it will be unable to ensure that the accused will receive a fair trial unless the accused is legally represented in the trial; and
    (b)    the accused is in need of legal assistance because he or she is unable to afford the full cost of obtaining from a private practitioner legal representation in the trial -
the court may order Victoria Legal Aid to provide assistance to the accused, on any conditions specified by the court, and may adjourn the trial until such assistance is provided.

(3)    Despite anything to the contrary in the Legal Aid Act 1978, Victoria Legal Aid must provide legal representation in accordance with an order under sub-section (2).

(4)    Despite anything to the contrary in sub-section (2 ) -
(a) if the court is satisfied that, in relation to the trial, the accused has engaged in vexatious or unreasonable conduct that has contributed to the accused's inability to afford the full cost of obtaining from a private practitioner legal representation in the trial, the court may refuse to make an order under sub-section (2);
(b) the legal burden of proof for the purposes of subsection (2)(b) that the accused is unable to afford the full cost of obtaining legal representation rests on the accused;
(c) for the purposes of providing under sub-section (2)(b) that the accused is unable to afford the full cost of obtaining legal representation, regard must be had to property -
    (i)    that is subject to the effective control of the accused (whether or not the accused has an interest in it); or
    (ii)    in which the accused has an interest -
as determined in accordance with section 9 or 10 of the Confiscation Act 1997;
(d) a reference in sub-section (2) to the provision of assistance to the accused is a reference to the provision of legal representation;
(e) the conditions that may be specified by the court under sub-section (2) do not include conditions relating to the identity, number or remuneration of persons representing the accused;
(f) the court must give Victoria Legal Aid an opportunity to appear and be heard before an order is made under sub-section (2).

(5) Despite anything to the contrary in section 17A of the Supreme Court Act 1986, Victoria Legal Aid may appeal to the court of Appeal, with leave of the Court of Appeal, fon an order under sub-section (2) of the trial Division constituted by a Judge.

(6) This Section, as amended by section 6 of the Crimes (Amendment) Act 1998, applies to and with respect to an order made by a court under sub-section (2) of this section after the commencement of that section, whether proceedings relating to the relevant trial commenced before or after that commencement.

The initial provision was limited to s.(1). Ss.(2) and (3) were introduced by the 1995 amendments, whilst ss.(4), (5) and (6) were the product of the 1998 amendments.

Rather than require the Court to accept Victoria Legal Aid's means test in determining the question of indigence, which would in such cases render s.360A of the Crimes Act redundant, the Court is required to have regard to such income or assets over which he/she has effective control. Victoria Legal Aid has some expertise in making inquiries as to assets and interests of an applicant for assistance and can accordingly assist the Court by putting before it information which may not be forthcoming from an accused seeking to convince the Court of his/her state of indigence. Indeed, as can be seen from the provision, the onus is on the accused. Such an approach clearly seeks to address the concerns raised in white collar cases, where often elaborate steps are taken to distance the accused from assets. However, it also caters for the situation, as arose in the case of R v Casser,[8] where a young offender, charged with murder, was refused assistance because his parents had significant assets, even though the relationship between parents and son was strained, and the parents had refused to provide any financial assistance. An order under s.360A of the Crimes Act was made.

On any investigation by the Court into the question of indigence, the evidentiary question must arise as to who has the burden of proving the assertion. In Victoria, in the case of R v Reid[9], the Court had held that the accused bore the onus of raising some evidence that he/she is unable to afford the full cost of obtaining private legal representation; however, once this evidential onus had been satisfied, it was for Victoria Legal Aid to prove the contrary. The 1998 amendments sought to make the position clear, and s.360A(4)(b) makes it clear that the accused bears the onus of proving that issue to the satisfaction of the court.

Accordingly the Court maintains control of its own processes; however, they allow for the Court to have regard to a number of factors which, from a funding bodies perspective, are important and relevant to how limited legal aid funds are to be dispersed. This approaches the ultimate position suggested by the Working Party on White Collar Crime Reform.

In the jurisdictions that apply the common law as stated in Dietrich, the position is somewhat similar, in that the court looks at the particular circumstances of the instant case, though certainly does not appear that there is any structure of matters that the court is required to take account of.

In the case of R v Karounos,[10] it was said by King C.J that it was open to the court, if it saw fit, to review the Legal Aid Commission's assessment of indigence. Again, this approach can be seen in A.G(NSW) v Milat,[11] where the Court emphasised the relationship between the Legal Aid Commission and the trial judge as one:

“where their respective functions are separate and distinct it is for the trial judge to decide, in light of what the Legal Aid Commission has done, whether there has been an infringement of the accused's right to a fair trial.

Tied closely to this issue of indigence is the issue of fault. The High Court in Dietrich spoke of “the indigent accused who, through no fault of their own, was unable to obtain legal representation..." This fault inquiry, in states other than Victoria (prior, at least to the 1998 amendments), has been the source of much judicial analysis and consideration.

In R v Small[12] Hunt C.J explains fault:

“The concept of fault should not, in my view, be interpreted narrowly. It is a well-known and frequently encountered phenomenon that some accused persons are psychologically quite unable to face up to the fact that their trial is to proceed. They put off applying for legal aid until it is too late for their case to be prepared adequately. Very rarely could such conduct properly or fairly be characterised as a deliberate refusal or wilful neglect on their part, yet the absence of legal representation can certainly be characterised as resulting from their fault. The criminal justice system would be crippled if such persons had either the absolute right to an adjournment in order to finally arrange legal representation or the right to a new trial if the trial is unsatisfactory as a result of the absence of such representation when they are solely responsible for that state of affairs".

The later case of R v Batiste[13] is a further example where the notion of fault was appropriately interpreted in a manner which was consistent with the view that there was a public interest in the administration of justice. The most recent consideration by the High Court of the reference in Dietrich to the accused being unable to obtain legal representation “through no fault on his or her part" comes in Craig v South Australia[14]. The Court held that:

“these comments were not intended to indicate that in every instance of misbehaviour, improvidence or other fault in the part of the accused which had contributed to his or her lack of representation must automatically preclude entitlement to a stay. In this regard, we agree with the view expressed by Olson, J in the Full Court that:

...what was in contemplation was a test which focused on the reasonableness of the conduct of the accused in all the circumstances and excluded situations in which it could fairly be said that the accused, by his gratuitous and unreasonable conduct had been the author of his own misfortune.

A fortiori it was not intended to suggest that the power to grant a stay on the grounds of inability to obtain legal representation does not exist at all if there has been, as a matter of objective fact, contributing fault on the part of the accused".[15]

Smart, J in R v Kay .[16] follows this reasoning.

In Victoria, the question of fault was discussed, in the context of s.360A, (prior to the 1998 amendments), in the decision of Victoria Legal Aid v Boris Beljajev and ors[17]. In the legislation there under consideration, the Court distinguished the position in Victoria under s.360A from those jurisdictions operating under the Dietrich principles, and held that

“the Court was invested with the jurisdiction to order Victoria Legal Aid to provide assistance (and to adjourn the trial until it does) if it was satisfied of two criteria;

1. That it cannot ensure that the accused will receive a fair trial unless the accused is legally represented (s360A(2)(a); and
2. That the accused is in need of legal assistance because he or she is unable to afford the full cost of obtaining legal representation from a private practitioner (s.360A(2)(b)).

There is nothing in those criteria to suggest that the Court is required to take into account wide ranging issues of fault in determining whether it can ensure a fair trial to the unrepresented accused".[18]

His Honour Winneke, P, then went on to state that he was of the view:

“that the concept of the “fair trial" contemplated by s.360A(2)(a) was not intended by the legislation to be eroded by considerations of “contributing fault". Those considerations will become relevant in the exercise of the Court's discretion once it is satisfied of the criteria referred to in the subsection".[19]

The provisions of s.360A(4)(a), as introduced in the 1998 amendments, may be seen as a response to the reasoning of the Court in Beljajev, (and the experience of the Victorian Courts with such cases as the Frugniet series of cases[20] on the question of fault, and provide specifically for the court to look at the accused behaviour and the concept of a fair trial. This, it would appear, that the position is similar in all states on this point.

Clearly, the one defining difference between Victoria and the other States and Territories is the power of a superior Court to order that legal assistance be provided to an indigent unrepresented accused, where to proceed with the trial without representation would be to deny that accused of a fair trial. That power is found in s.360A(2).

The Court has the power to adjourn the trial until such assistance has been provided. In practice, applications pursuant to that section are made earlier rather than later in the proceedings, particularly in the County Court. To date, there have been some 46 such applications made to the County and Supreme Courts. In contrast, the position in the other States and Territories appears to be that as experienced in such cases as R v Souther [21]. In that case, neither the Legal Services Commission nor the South Australian government was willing to provide adequate compensation and Counsel refused to act. Olsson, J applied Dietrich and stayed the proceedings until the stand off situation had been resolved in a fair and satisfactory manner. Such a situation allows for uncertainty, which ought not to exist in a criminal justice system.

The remedy provided by a provision such as s.360A eliminates such a dilemma by providing a decisive response to each situation that it is applied to. A court will either order that the trial proceed, without representation, once it has formed the view that an accused can be accorded a fair trial and exercised its discretion so, or it will order Victoria Legal Aid to provide assistance if it is not so satisfied.

Turning now to the question of whether the Court has the power to determine the level of representation, or whether such matters are really within the province of the legal aid body providing the funding, it would appear that there is common ground across Australia that such matters are properly left to the funding body. The common law position was stated in A.G for NSW v Milat[22]. The trial judge had ordered a stay of the accused's murder trial until funds were provided for the legal representation in accordance with a formulae set by his Honour, and further stipulated that the (second) junior counsel should have at least ten years practice in the criminal jurisdiction. This was in the situation where legal assistance had been granted, but the funding body would not provide a level of assistance “acceptable" to the accused.

On appeal, the NSW CCA unanimously set aside those orders and said it was inconsistent with Dietrich for trial judges to:

“embark upon a detailed exercise of assessing the relative degrees of competence and experience potentially available to act for an accused person.....the principle in Dietrich turns upon whether legal representation is unavailable to an indigent accused....It does not concern an accused person's supposed right to competent counsel.....".[23]

In Victoria, this topic was dealt with in R v Beljajev[24], where His Honour Winneke, P stated that

“.....in my opinion the court is empowered to specify whatever conditions are relevant to the exercise of the power, whether they be conditions imposed upon VLA or the accused.....It must, in my view, be understood that the power invested in the Court by the section is a power to order “the [VLA] to provide assistance to the accused. Such conditions as the Court imposes must be relevant to the exercise of that power". It seems to be that any condition which directs VLA to provide assistance through a particular person and/or at a particular rate amounts, in truth, to an order that assistance is to be provided by that person and not by VLA. In my opinion no condition can be imposed by the Court which limits the capacity to VLA to provide the assistance which the court has ordered it to provide...."[25]


His Honour approves of the comments of the Court in A.G (NSW) v Milat, where the NSW Court of Appeal said:

There could, no doubt, be cases where the legal aid being offered was so inadequate, or subject to such restrictive terms and conditions, that it would be right to conclude that a person to who legal aid was offered has been left relevantly unrepresented. But, when a stay application is made in the present circumstances, there is a risk that a trial judged will be drawn into a form of arbitration between lawyers and the Legal Aid Commission.[26]

This point was picked up in the 1998 amendments, (which were drafted prior to the decision in Beljajev), in response to decisions, particularly in the Supreme Court, where the Court had made specific orders as to number of counsel and their fees in one case and the identity of the solicitor to be assigned the case in another.

The section now specifically states at s.360A(4)(e) (as introduced by the 1998 amendments), that the conditions that may be specified by the court under sub-section (2) do not include conditions relating to the identity, number or remuneration of persons representing the accused.

A further matter that should be noted in the current provision of s.360A is the right by VLA, as the prospective funding body, to be heard on any such application. Further, there is provision for VLA to appeal an order made under the section by a Supreme Court Judge. There is a right to appeal against such orders if they are made by the County Court. It is clearly desirable that, in appropriate cases, the funding body be able to appeal against the decision that it provide assistance.

Before concluding, attention is drawn to the relevant recommendations made by the Working Group on Criminal Trial Procedure, Report September 1999. Recommendation 47 states:

“any response to the decision in Dietrich must be related to the common law concern to ensure a fair trial for every defendant"

S.360A of the Victorian Crimes Act makes it a criteria that a trial judge is to be satisfied of that matter in exercising his/her discretion under that provision. On this point, reference is made to the recent decision of R v Quoc Kinh Phung[27]. Brooking, JA, in the course of the leading judgement, stated:

“...in any event, s.360A does not impinge upon the notion of a fair trial as laid down in Dietrich...."[28].

In that case, the Court in the course of finding a miscarriage of justice in the conduct of a trial of an unrepresented accused, reviewed the “triable issue" test which had been used by the County Court in determining whether, in any given case, the court would be “unable to ensure that the accused will receive a fair trial unless the accused is legally represented at the trial...." The test had its origin in the case of R v Drljaca, where His Honour Chief Judge Waldron analysed s.360A and Dietrich and concluded that:

“there needs to be a triable issue for there to be a requirement that the accused have representation in order to ensure a fair trial. If an accused in truth has no defence but nevertheless simply wishes to put the Crown to its proof in the hope rather than the expectation that the proof will not prevail, it cannot in my view be said that the lack of representation has caused the accused to “lose a chance which has fairly open to him of being acquitted “or" to involve a risk of the accused being properly convicted" or to result “in the court being unable to ensure that the accused will receive a fair trial". Rather, such a case is an exceptional case as contemplated in Dietrich".[29]

His Honour Brooking, JA, who delivered the leading judgement, rejected that test:

“The trial test as laid down in Drljaca should be regarded as requiring the judge to consider whether the accused has shown that at trial there will be some issue of fact or law which, if resolved in favour of the accused, will result in acquittal, and that the issue is one on which the accused has some prospect of acquittal, even though that prospect should be small. So understood, the test does not seem to me, with all respect to those who have thought otherwise, to lay down an acceptable condition of, that is to say, the requisite to, the making of an order under s360A(2). .......all that paragraph (a) of s.360(A)2) refers to is inability to ensure a fair trial without legal representation" [30]

His Honour goes on to say:

“I accept that it is possible to conceive of a case in which a judge might be able to say in advance that if it was fanciful to suppose an accused might avoid conviction, so that legal representation could not by any possibility affect the outcome of the trial and the absence of representation would not make the trial unfair....such a case must be very rare....Save in a most exceptional case, unlikely to be encountered in practice, I do not think it can be said in advance that the Crown case is so strong that legal representation may not affect the outcome of a trial.....Applications under this section should be approached on the footing that in all but a most exceptional case representation may possibly affect the result of a trial and that it is not for the applicant to raise a triable issues but for the judge to consider whether the presumption that a fair trial requires representation has been displaced. This means asking affirmatively whether it appears that it is fanciful to suppose that the accused might avoid conviction, bearing in mind the difficult of reaching that conclusion at a preliminary stage as opposed to considering the matter in light of an actual trial".[31]

It may well be that there is, for all intents and purposes, very little difference between s.360A and Dietrich when all is said and done.

In summary, I would submit that the provisions of legislation in the form of s.360A do not affect an accused's right to a fair trial. Further, the decision as to indigence is a matter for the trial judge about to deal with a matter, or preferably well before a matter is to proceed. The matter can at that stage be dealt with by a judge of that court, as such applications proceed in Victoria presently. The concerns of the funding body are adequately addressed by the requirement on the court to take account of a series of maters that they would have regard to in assessing eligibility for legal assistance, together with the right of appearance and the right of appeal, as provided for in the Victorian provision.

Currently the practice in Victorian courts is that at the threshold test for the making of a s.360A application is that all appeal avenues within Victoria Legal Aid are exhausted - s.360A(1). It is only after that point has been reached is it that the court can be called upon to decide on the issue of representation. In cases where assets are held by the prosecution under the relevant confiscation provisions, there too the accused should be required to exhaust all other avenues before being in a position to seek a stay or a court order for assistance to be provided to them. In such cases, consideration needs to be given to how those assets are expended on the conduct of legal proceedings.

There is merit in the view adopted by the Working Party on White Collar Crime Report[32] that restrained assets could be managed by the legal aid body, and expenditure on defence controlled as if a grant of assistance existed. Currently there is a trial in the County Court at Melbourne where Victoria Legal Aid has the responsibility of handling the accused's restrained funds for the purposes of his defence. It is the large white collar matters that pose the greatest threat to the limited legal aid funds and it would seem appropriate that consideration be given to ways of avoiding the situation that the cost of the trial be borne by the public purse if there are innovative means of ensuring that funds are not squandered at the preliminary hearing stage and the burden of the cost of the trial be in some way lessened on the public purse. I do not wish to be taken as favouring any departure from the requirement for a fair trial in such cases, only that lateral thinking may be required for this particular problem.



In conclusion, I support recommendations 47 - 53 made by the Working Group on Criminal Trial Procedure, though I concede that I have not dealt with them all in detail. My colleagues and I certainly support a move toward uniformity in approach to this problem, in legislative form, along the lines of the current provisions of S.360A of the Victoria Crimes Act.



1   Dietrich v the Queen (1992) 177 CLR 292.
2   ibid at p336.
3   ibid at p315 per Mason C J and McHugh, J.
4   ibid at p311.
5   Issues paper for Working party on White Collar Crime Reform - p9.
6   Working Group on Criminal Trial Procedure - Report September, 1999, recommendation 48.
7   Reform of Pre-Trial Criminal Procedure Principles - 27 August, 1998.
8    Unreported, Supreme Court, 23 June 1998.
9    [1998] IVR 224.
10  (1995) 63 SA SR 451 @ 450.
11   (1995) 37 NSWLR 370 @ 380.
12   (1994) 33 NSWLR 575 @ 588.
13   (1994) 35 NSWLR 437.
14   (1995) 184 CLR 163.
15   ibid @ p184.
16   100 A Crim R 367 @ 373.
17   Unreported, Supreme Court of Victoria, Court of Appeal, 5/10/1998.
18   ibid p14.
19   ibid p15.
20   Victorian County Court, June 1997 - October 1998.
21   Unreported, Supreme Court of South Australia 22 May 1997.
22   supra n 11.
23   ibid @ p375.
24   supra n 17.
25   ibid p20 -21
26   ibid.
27   Unreported, Supreme Court of Victoria, Court of Appeal 1 December 1999.
28   ibid p11.
29   Ibid.
30   ibid p6 - 7.
31   ibid.