R. v. Lévesque, [2000] 2 S.C.R. 487
Her Majesty The Queen Appellant
v.
Renaud Lévesque Respondent
Indexed as: R. v. Lévesque
Neutral citation: 2000 SCC 47.
File No.: 26939.
2000: March
23; 2000: October 12.
Present: McLachlin C.J. and L’Heureux‑Dubé,
Gonthier, Iacobucci, Bastarache, Binnie and Arbour JJ.
on appeal from the court of appeal for quebec
Criminal law ‑‑ Evidence ‑‑
Fresh evidence ‑‑ Appeals against sentence ‑‑ Criteria
applicable to admission of fresh evidence on appeal from sentence ‑‑
Whether criteria are the same regardless of whether appeal relates to verdict
or to sentence ‑‑ Whether Court of Appeal erred in admitting fresh
evidence.
The accused pleaded guilty to 15 counts arising from a
robbery at a residence. He was sentenced to several terms of imprisonment to
be served concurrently, the longest of which was a term of ten years and six
months for kidnapping. In appealing his sentence, the accused is seeking to
have two new reports admitted in evidence to which the Crown objects. The
first was prepared by a psychologist for Correctional Service Canada, and the
second was written by a psychiatrist at the accused’s request. The Court of
Appeal unanimously held that the trial judge committed an error in sentencing
by comparing this case with cases involving hostage‑taking — a finding
that is not in issue in this appeal. The majority of the Court of Appeal also
allowed the motions to adduce fresh evidence and, in view of the error by the
trial judge, substituted a sentence of five years and six months for the
sentence of ten years and six months imposed by the trial judge.
Held (Arbour J.
dissenting): The appeal should be allowed.
Per McLachlin C.J. and
L’Heureux‑Dubé, Gonthier, Iacobucci, Bastarache and Binnie JJ.:
Although the rules concerning sources and types of evidence are more flexible
in respect of sentence, the criteria for admitting fresh evidence on appeal are
the same regardless of whether the appeal relates to a verdict or a sentence.
If a court of appeal thinks fit to admit fresh evidence, it will do so because
it is in the interests of justice to admit it. The criteria set out in Palmer
call for a relaxed and flexible application and to relax them any further would
be contrary to the interests of justice. These criteria, including the due
diligence criterion, are therefore applicable to applications to tender fresh
evidence in an appeal from a sentence. Moreover, while the admission of fresh
evidence in an appeal from a sentence cannot lead to a new trial, unlike
admission of fresh evidence in an appeal from a verdict, this difference does
not justify the application of different tests. The integrity of the criminal
process and the role of appeal courts could be jeopardized by the routine
admission of fresh evidence on appeal. A two‑tier sentencing system
incompatible with the high standard of review applicable to appeals from
sentences and the underlying profound functional justifications would thus be
created.
In the context of the admission of fresh evidence on
appeal, the concepts of admissibility and probative value overlap. To be
admissible, fresh evidence must be relevant and credible and, when taken with
the other evidence adduced at trial, be expected to have affected the result.
The probative value of fresh evidence must thus be considered in order to
determine whether it is admissible on appeal. To facilitate determination of
the probative value of fresh evidence, the party challenging it should test it
by making a formal motion to the court of appeal and explaining how it wishes
to proceed. The court of appeal may in this regard exercise all the powers set
out in s. 683 of the Criminal Code . Failure by a party to test
fresh evidence does not relieve a court of appeal from applying the criteria
established in Palmer.
The strict rules of a trial do not apply to a
sentencing hearing, since to determine the appropriate sentence the judge must
have as much information as possible about the accused. The Palmer
criteria do not compromise the more flexible nature of the rules, since the
criteria concerning the admission of fresh evidence on appeal do not relate to
the sources and types of evidence. The purpose of the due diligence criterion
is to protect the interests and the administration of justice and to preserve
the role of appeal courts. Before admitting new opinion evidence on appeal, it
may be necessary to determine the basis of that opinion and to establish
whether the facts on which the opinion is based have been proven and are
credible. Whether or not consent is given, the production of fresh evidence on
appeal is possible only with the leave of the court of appeal. The court of
appeal may properly take into account the fact that the Crown has consented or
that admission is uncontested particularly when assessing the relevance,
credibility and probative value of fresh evidence.
In this case, the majority of the Court of Appeal
found that the two reports were admissible because they provided greater detail
or shed additional light on the evidence adduced at trial. These grounds are
inadequate to justify the admission of the reports, since they could justify
the admission of a very broad range of additional evidence on appeal, which
would be contrary to the Palmer criteria and the limited role of
appellate courts in respect of sentencing. The reports should not have been
admitted in evidence, since their probative value was not such that they might
have affected the result if they had been adduced at trial with the other
evidence. The probative value of an expert opinion depends on the amount and
quality of admissible evidence on which it relies. Both the psychologist and
the psychiatrist, whose report also does not meet the due diligence criterion,
based their opinions on a version of the facts that was not established or
adopted at trial.
For the reasons stated by the dissenting judge in the
Court of Appeal, it is, however, appropriate to substitute a sentence of imprisonment
of eight years and six months for the sentence imposed by the trial judge in
view of the error he committed in sentencing.
Per Arbour J.
(dissenting): The Court of Appeal was entitled to admit the reports. The
trial judge fundamentally mischaracterized the principal crime of which the
accused had been convicted in determining the just and appropriate sentence,
with the result that the Court of Appeal was, for all intents and purposes,
required to sentence afresh. In these specific circumstances, it was for the
Court of Appeal to equip itself, pursuant to its broad statutory discretion
under s. 683(1) of the Criminal Code , with whatever evidence it
deemed fit and necessary to decide the question of sentence. In view of the
fundamental error committed by the trial judge, the principles governing the
admission of fresh evidence in appeals against sentence articulated by the
majority are not germane to the disposition of this appeal. Further, the
majority’s stringent application of Lavallee was disagreed with. The
nature of the sentencing process, and of the statutory rules that govern it,
contemplate that the sentencing court should have the benefit of the fullest
possible information concerning the background of the offender, from the widest
array of sources. It is therefore inappropriate to tie the probative value of
evidence tendered under these rules to the probative value of evidence
proffered at trial, and thus, more specifically, to assess the weight of an
expert opinion on the basis of the quantity and quality of non‑hearsay
evidence introduced to support that opinion. A sentencing court must be
entitled to receive and rely on any credible and trustworthy evidence which
assists it in obtaining as complete an understanding of the offender as
possible. The extent to which evidence presented on sentencing conflicts with
the facts upon which the conviction was founded is a matter for the sentencing
court to take into consideration, but is not, as such, a matter for exclusion
of the evidence in question. Here it was open to the Court of Appeal to find
both reports sufficiently credible and trustworthy to assist in the development
of a fuller picture of the accused, based as they were on the experts’ face‑to‑face
psychological assessment and evaluation of the former.
Cases Cited
By Gonthier J.
Followed: Palmer v. The Queen, [1980] 1
S.C.R. 759; referred to: R. v. M. (P.S.)
(1992), 77 C.C.C. (3d) 402; R. v. Warsing, [1998] 3 S.C.R.
579; R. v. Hogan (1979), 50 C.C.C. (2d) 439; R. v.
Edwards (1996), 105 C.C.C. (3d) 21; R. v. M. (C.A.),
[1996] 1 S.C.R. 500; R. v. Lockwood (1971), 5 C.C.C. (2d)
438; R. v. Irwin (1979), 48 C.C.C. (2d) 423; R. v. Langille
(1987), 77 N.S.R. (2d) 224; R. v. Archibald (1992), 15 B.C.A.C.
301; R. v. Lemay (1998), 127 C.C.C. (3d) 528; R. v.
Gauthier, [1996] Q.J. No. 952 (QL); R. v. McDow (1996),
147 N.S.R. (2d) 343; R. v. Riley (1996), 107 C.C.C. (3d)
278; R. v. Mesgun (1997), 121 C.C.C. (3d) 439; Morris v.
The Queen, [1983] 2 S.C.R. 190; McMartin v. The Queen,
[1964] S.C.R. 484; R. v. Stolar, [1988] 1 S.C.R. 480; R.
v. Shropshire, [1995] 4 S.C.R. 227; R. v. Proulx,
[2000] 1 S.C.R. 61, 2000 SCC 5; R. v. Berry (1997), 196
A.R. 398; R. v. Lavallee, [1990] 1 S.C.R. 852; R. v.
Gardiner, [1982] 2 S.C.R. 368; R. v. McAnespie, [1993] 4
S.C.R. 501.
By Arbour J. (dissenting)
R. v. Lavallee, [1990]
1 S.C.R. 852; R. v. Gardiner, [1982] 2 S.C.R. 368; R. v. M. (C.A.),
[1996] 1 S.C.R. 500.
Statutes and Regulations Cited
Criminal Code, R.S.C., 1985, c. C‑46, ss. 683 , 687 , 721 [rep.
& sub. 1995, c. 22, s. 6; am. 1999, c. 25, s. 16],
722(2) [rep. & sub. 1995, c. 22, s. 6], 723(5) [idem],
724(1) [idem].
Authors Cited
Côté,
Pierre‑André. The Interpretation of Legislation in Canada, 2nd
ed. Cowansville: Yvon Blais, 1991.
Ruby, Clayton C. Sentencing,
5th ed. Toronto: Butterworths, 1999.
Sopinka, John, Sidney
N. Lederman and Alan W. Bryant. The Law of Evidence in Canada,
2nd ed. Toronto: Butterworths, 1999.
APPEAL from a judgment of the Quebec Court of Appeal
(1998), 130 C.C.C. (3d) 107, [1998] Q.J. No. 2680 (QL), J.E. 98‑2019,
allowing the accused’s appeal against his sentence. Appeal allowed, Arbour J.
dissenting.
Henri‑Pierre Labrie and Dannie Leblanc, for the appellant.
Pauline Bouchard, for
the respondent.
English version of the judgment of McLachlin C.J. and
L’Heureux-Dubé, Gonthier, Iacobucci, Bastarache and
Binnie JJ. delivered by
Gonthier J. —
I. Issue
1
This appeal concerns the rule that applies to the admission of fresh
evidence on appeal from a sentence. In Palmer v. The Queen, [1980] 1
S.C.R. 759, this Court set out the principles governing the admission of fresh
evidence on appeal from a verdict. In the case at bar, it must be determined
whether the criteria that apply are the same for both types of appeal, and
whether the majority of the Court of Appeal erred by admitting in evidence the
two expert reports tendered by the respondent, despite the objections of the
appellant.
II. Facts
2
On June 22, 1996, the respondent and his two accomplices went
to the home of the Fortier family intending to make off with large amounts of
money that he believed were kept in a safe. While these three individuals were
in the shed located behind the house, they were surprised by David Fortier,
aged thirteen. After grabbing him and tying him up, the respondent questioned
him about the location of the safe and the people who were in the house. He
put a shotgun cartridge in his mouth, which he then taped shut, and threatened
him several times, both verbally and with his gun. The respondent then left
the shed, taking David, with his gun pointed at the boy’s head, and escorted
him towards the house. The two accomplices followed. Once the respondent was
inside the house, he attacked Bertrand Fortier, David’s father, as he sat
watching television with his wife. A fight broke out and a shot was fired in
the fray. While this was going on, the two accomplices fled and one of the
Fortier boys called the police. Mr. Fortier ultimately wrestled the
respondent to the ground and the police arrived shortly afterward.
3
On December 18, 1996, the respondent pleaded guilty to fifteen
counts arising from the events of June 22, 1996. In appealing his
sentence, the respondent is seeking to have three new reports admitted in
evidence. The first, dated April 3, 1997, is entitled [translation] “Psychological/psychiatric
assessment report”. This report was prepared by Marc Daigle, a psychologist,
for Correctional Service Canada. The second report was written by Louis
Morissette, a psychiatrist, at the respondent’s request. It is dated
March 17, 1998. The appellant objects to the admission of these two
reports in evidence, but consents to the admission of the third report, which
is by Jacques Bigras, a psychologist. That report is dated
March 31, 1998, and was prepared for Correctional Service Canada at
the end of a course taken by the respondent during his incarceration.
III. Relevant Legislation
4
The relevant provisions of the Criminal Code, R.S.C., 1985,
c. C‑46 , are as follows:
683. (1) For the purposes of an
appeal under this Part, the court of appeal may, where it considers it in the
interests of justice,
(a) order the production of any writing, exhibit or
other thing connected with the proceedings;
(b) order any witness who would have been a
compellable witness at the trial, whether or not he was called at the trial,
(i) to attend and be examined before the court of appeal,
or,
(ii) to be examined in the manner provided by rules of court
before a judge of the court of appeal, or before any officer of the court of
appeal or justice of the peace or other person appointed by the court of appeal
for the purpose;
(c) admit, as evidence, an examination that is taken under
subparagraph (b)(ii);
(d) receive the evidence, if tendered, of any
witness, including the appellant, who is a competent but not compellable
witness;
687. (1) Where an appeal is taken
against sentence, the court of appeal shall, unless the sentence is one fixed
by law, consider the fitness of the sentence appealed against, and may on such
evidence, if any, as it thinks fit to require or to receive,
(a) vary the sentence within the limits prescribed by
law for the offence of which the accused was convicted; or
(b) dismiss the appeal.
IV. Proceedings
A. Court of Québec, Criminal and Penal
Division, No. 505‑01‑008036‑960, February 19, 1997
5
On December 18, 1996, the respondent pleaded guilty to charges
of kidnapping, confinement, assault with a weapon, uttering threats, disguise
with intent, pointing a firearm, possession of an unregistered restricted
weapon, robbery, breaking and entering a dwelling-house, and conspiracy to
commit robbery. After the guilty pleas were entered, Judge Yves Lagacé ordered
that a pre-sentence report be prepared pursuant to s. 721 of the Criminal
Code . On February 19, 1997, after hearing submissions from both
counsel and the testimony of Bernard Fortier, the accused’s brother, the
probation officer Philippe David, and the respondent himself, Judge Yves Lagacé
sentenced the respondent to several terms of imprisonment to be served
concurrently. The longest sentence was imprisonment for a term of ten years
and six months on the kidnapping charge.
B.
Quebec Court of Appeal, [1998] Q.J. No. 2680 (QL)
6
On appeal, the respondent filed two motions seeking leave to adduce
fresh evidence, in the form of the reports by Marc Daigle, a psychologist, and
Louis Morissette, a psychiatrist. On April 6, 1998, a panel of three
judges of the Court of Appeal (Beauregard, Gendreau and Baudouin JJ.A.)
referred that request to the panel that would determine the application to
appeal the sentence.
7
These motions were heard by Deschamps, Chamberland and Nuss JJ.A. on
July 8, 1998. They unanimously allowed the application for leave to appeal,
since in their view the trial judge had erred by comparing this case with cases
involving hostage‑taking for ransom in determining the appropriate
sentence. That finding is not in issue in this appeal. The majority of
the Court of Appeal also allowed the motions to adduce fresh evidence,
Chamberland J.A. dissenting.
1. Deschamps J.A. (Nuss J.A. concurring)
8
After stating that the principles laid down in Palmer, supra,
are to be applied more flexibly in criminal cases than in civil cases, and that
the provisions governing the admission of fresh evidence on appeal are
different, depending on whether the Court is ruling in respect of a verdict
(s. 683 of the Criminal Code ) or a sentence (s. 687 of the Criminal
Code ), Deschamps J.A. said that a liberal approach must be taken on an
appeal from a sentence when the admissibility of fresh evidence is in dispute.
At para. 12, she concluded: [translation]
“while the two sections [ss. 683 and 687 of the Criminal Code ] do
not establish different rules, it is my view that at the very least the wording
of s. 687 prescribes a flexible and liberal approach”.
9
Deschamps J.A. was of the opinion that the report prepared by the
psychologist, Marc Daigle, met the requirements for admissibility. She noted
that the appellant did not ask to have this assessment done and that the report
was written less than two months after the probation officer’s report, which
was submitted to the trial judge. In addition, the report could not have been
tendered at trial, since the psychological assessment takes place after
sentencing. She says at para. 15:
[translation] While
it is true that the appellant could have requested a separate expert opinion
following receipt of the pre-sentence report, I cannot criticize him for
failing to do so since, first, the appellant could not have foreseen that
Mr. Daigle would have had an opinion diametrically opposed to that of
Mr. David and, second, that would amount to encouraging competing expert
opinions in cases where accused persons are dissatisfied with pre-sentence
reports.
Ultimately,
Deschamps J.A. felt that it was in the interests of justice to admit the
psychologist’s report by Mr. Daigle in evidence, since [translation] “it explains the appellant’s past in greater
detail and shows his personality from a perspective that was not evident in the
trial record. Whereas the pre-sentence report refers to a significant
probability of reoffending, the psychologist’s report by Mr. Daigle states the
opposite” (par. 16).
10
According to Deschamps J.A., the admissibility of the report
prepared by the psychiatrist, Dr. Morissette, was more debatable. She
commented that the report was prepared at the respondent’s request and that
thirteen months had intervened between sentencing and the preparation of the
report. She also stated that the portion of the report in which
Dr. Morissette responded to the probation officer’s report did not carry
much weight. Nonetheless, she determined that the report was admissible, since
it shed additional light on Mr. Daigle’s report.
11
In view of the error committed by the trial judge and in light of the
fresh evidence, Deschamps J.A. substituted a sentence of five and a half years
for the sentence of ten and a half years imposed by Judge Lagacé.
2. Chamberland J.A. (dissenting)
12
In the view of Chamberland J.A., the reports by Mr. Daigle and Dr.
Morissette should not be admitted in evidence. It was his opinion that the
respondent, by exercising minimal diligence, could have sought other opinions
for the purpose of countering the probation officer’s opinion concerning his
personality and submitted them to the trial judge. At para. 31 he stated:
[translation] I
appreciate that the provisions governing fresh evidence differ depending
whether the Court is being asked to rule as to guilt (section 683 Cr. C.)
or the sentence (section 687 Cr. C.) but not, in my view, to the point
that the Court must, unless there are completely exceptional circumstances
(which are not found in the case at bar) or unless, of course, the other party
consents, admit evidence that was readily available at trial (R. v. Stolar,
[1988] 1 S.C.R. 480; Palmer and Palmer v. R., [1980] 1 S.C.R. 759).
In short, it is my view that the present adversarial debate concerning the
appellant’s personality should have been conducted at trial rather than on
appeal.
13
In view of the error committed by the trial judge in sentencing,
Chamberland J.A. would have substituted a sentence of imprisonment for eight
years and six months for the sentence imposed by Judge Lagacé. He allowed the
motion to submit fresh evidence for the sole purpose of admitting in evidence
the report by Jacques Bigras, the psychologist.
V. Analysis
A. The Criteria Laid Down in Palmer
14
In Palmer, supra, this Court considered the discretion of
a court of appeal to admit fresh evidence pursuant to s. 610 of the Criminal
Code , the predecessor of s. 683 . After emphasizing that, in
accordance with the wording of s. 610 , the overriding consideration must
be “the interests of justice”, McIntyre J. set out the applicable
principles, at p. 775:
(1) The evidence should generally not be admitted
if, by due diligence, it could have been adduced at trial provided that this
general principle will not be applied as strictly in a criminal case as in
civil cases: see McMartin v. The Queen.
(2) The evidence must be relevant in the sense
that it bears upon a decisive or potentially decisive issue in the trial.
(3) The evidence must be credible in the sense
that it is reasonably capable of belief, and
(4) It must be such that if believed it could
reasonably, when taken with the other evidence adduced at trial, be expected to
have affected the result.
In R. v.
M. (P.S.) (1992), 77 C.C.C. (3d) 402 (Ont. C.A.), at p. 410, Doherty
J.A. wrote the following concerning these principles:
The last three criteria are conditions precedent to
the admission of evidence on appeal. Indeed, the second and third form
part of the broader qualitative analysis required by the fourth consideration.
The first criterion, due diligence, is not a condition precedent to the
admissibility of “fresh” evidence in criminal appeals, but is a factor to be
considered in deciding whether the interests of justice warrant the admission
of the evidence: McMartin v. The Queen, supra, at pp. 148‑50;
R. v. Palmer, supra, at p. 205.
In my view
this is a good description of the way in which in the principles set out in Palmer
interact.
15
This court was recently asked to apply these criteria in R. v. Warsing,
[1998] 3 S.C.R. 579. In that case, the British Columbia Court of Appeal
determined that the accused had not satisfied the due diligence criterion and
refused to admit fresh evidence. At para. 51, Major J., for the
majority, pointed out that due diligence is only one factor and its absence,
particularly in criminal cases, should be assessed in light of other
circumstances. In other words, failure to meet the due diligence criterion
should not be used to deny admission of fresh evidence on appeal if that
evidence is compelling and it is in the interests of justice to admit it.
B. Criteria Applicable to Appeals Against Sentence
16
Relying on the different wording of ss. 683 and 687 of the Criminal
Code and the fact that the words used in s. 687 , in her view, convey [translation] “a much more discretionary
connotation” (para. 10), Deschamps J.A. expressed the view that the
rules set out in Palmer are to be applied more flexibly in an appeal
from a sentence. With respect, I do not share that view. Although the rules
concerning sources and types of evidence are more flexible in respect of
sentence, the criteria for admitting fresh evidence on appeal are the same,
regardless of whether the appeal relates to a verdict or a sentence.
17
For purposes of comparison, I will reproduce again the relevant passages
of ss. 683 and 687 of the Criminal Code :
683. (1) For the purposes of an
appeal under this Part, the court of appeal may, where it considers it in
the interests of justice, . . .
687. (1) Where an appeal is taken
against sentence, the court of appeal shall, unless the sentence is one fixed
by law, consider the fitness of the sentence appealed against, and may on such
evidence, if any, as it thinks fit to require or to receive,
. . . [Emphasis added.]
At first
glance, it seems to me that the applicable criterion is not different: see R.
v. Hogan (1979), 50 C.C.C. (2d) 439 (N.S.C.A.), at p. 449; and R.
v. Edwards (1996), 105 C.C.C. (3d) 21 (Ont. C.A.), at p. 27. If a
court of appeal thinks fit to admit fresh evidence, it will do so
because it is in the interests of justice to admit it. Furthermore, I
do not see how the discretion conferred on courts of appeal by s. 687
could be broader than the discretion conferred by s. 683 since, if such
were the case, courts of appeal could exercise their discretion in a manner
contrary to the interests of justice. However, it is assumed that the
legislator did not intend statutes to apply in a way contrary to justice: P.‑A. Côté,
The Interpretation of Legislation in Canada (2nd ed. 1991), at
p. 373. Like McIntyre J. in Palmer, supra, at
p. 775, I believe that the overriding consideration must be the interests
of justice, regardless of whether the appeal is from a verdict or a sentence.
18
In any case, it is my belief that the criteria stated by this Court in Palmer
already call for a relaxed and flexible application and could hardly be relaxed
any further. In accordance with the last three criteria, a court of appeal may
admit only evidence that is relevant and credible, and could reasonably, when
taken with the other evidence adduced at trial, be expected to have affected
the result. If these criteria were made more flexible, it would be open to a
court of appeal to accept evidence that was not relevant or credible, and that
could not reasonably, when taken with the other evidence adduced at trial, be
expected to have affected the result to which they led at trial. In my view,
it would serve no purpose and be contrary to the interests of justice to introduce
this kind of flexibility.
19
Failure to satisfy the first criterion, due diligence, is not always
fatal. As Major J. said in Warsing, supra, at para. 51:
It is desirable that due diligence remain only one factor and its
absence, particularly in criminal cases, should be assessed in light of other
circumstances. If the evidence is compelling and the interests of justice
require that it be admitted then the failure to meet the test should yield to
permit its admission.
This passage
clearly shows that the due diligence criterion must be applied flexibly. In my
view, it is not necessary to make it more flexible in the context of appeals
from sentence. While due diligence is not a necessary prerequisite for the
admission of fresh evidence on appeal, it is an important factor that must be
taken into account in determining whether it is in the interests of justice to
admit or exclude fresh evidence. As Doherty J.A. said in M. (P.S.),
supra, at p. 411:
While the failure to exercise due diligence is not
determinative, it cannot be ignored in deciding whether to admit “fresh”
evidence. The interests of justice referred to in s. 683 of the Criminal
Code encompass not only an accused’s interest in having his or her guilt
determined upon all of the available evidence, but also the integrity of the
criminal process. Finality and order are essential to that integrity. The
criminal justice system is arranged so that the trial will provide the
opportunity to the parties to present their respective cases and the appeal
will provide the opportunity to challenge the correctness of what happened at
the trial. Section 683(1)(d) of the Code recognizes that
the appellate function can be expanded in exceptional cases, but it cannot be
that the appellate process should be used routinely to augment the trial
record. Were it otherwise, the finality of the trial process would be lost and
cases would be retried on appeal whenever more evidence was secured by a party
prior to the hearing of the appeal. For this reason, the exceptional
nature of the admission of “fresh” evidence on appeal has been stressed: McMartin
v. The Queen, supra, at p. 148.
The due diligence criterion is designed to preserve
the integrity of the process and it must be accorded due weight in assessing
the admissibility of “fresh” evidence on appeal.
In my view,
these considerations are equally relevant in the context of an appeal from
sentence. Accordingly, due diligence in producing fresh evidence is a factor
that must be taken into account in an appeal from sentence, on the same basis
as the other three criteria set out in Palmer.
20
While the admission of fresh evidence in an appeal from a sentence
cannot lead to a new trial, unlike admission of fresh evidence in an appeal
from a verdict (see the wording of ss. 687 and 683 of the Criminal Code ),
I do not believe that this difference justifies the application of different
tests. The integrity of the criminal process and the role of appeal courts
could be jeopardized by the routine admission of fresh evidence on appeal,
since this would create a two‑tier sentencing system. That kind of
system would be incompatible with the high standard of review applicable to
appeals from sentences and the underlying “profound functional
justifications”: see R. v. M. (C.A.), [1996] 1 S.C.R. 500, at
para. 91. Despite the fresh evidence, the sentencing judge, unlike the
appeal judge, has the benefit of being able to directly assess the other
evidence, the testimony and the submissions of the parties, as well as being
familiar with the needs and current conditions of and in the community where
the crime was committed: see M. (C.A.), supra, at
para. 91. Furthermore, appeal courts are not the appropriate forum in
which to determine questions of fact, and they should do so only when the fresh
evidence presents certain characteristics such as would justify expanding their
traditional role. This Court has already identified those characteristics, in Palmer.
In my view, whether the appeal relates to a verdict or a sentence, the criteria
laid down by this Court in Palmer are the criteria that are to be
applied where a court of appeal is determining whether to admit fresh evidence.
21
In addition to citing the different wording of ss. 683 and 687 of
the Criminal Code , Deschamps J.A. refers to cases decided in other
provinces. A number of courts of appeal have considered the issue of admission
of fresh evidence on an appeal from a sentence: see R. v. Lockwood
(1971), 5 C.C.C. (2d) 438 (Ont. C.A.); Hogan, supra; R. v.
Irwin (1979), 48 C.C.C. (2d) 423 (Alta. C.A.); R. v. Langille
(1987), 77 N.S.R. (2d) 224 (C.A.); R. v. Archibald (1992), 15
B.C.A.C. 301; R. v. Lemay (1998), 127 C.C.C. 528 (3d) (Que. C.A.); R.
v. Gauthier, [1996] Q.J. No. 952 (QL) (C.A.); R. v.
McDow (1996), 147 N.S.R. (2d) 343 (C.A.); Edwards, supra; R.
v. Riley (1996), 107 C.C.C. (3d) 278 (N.S.C.A.); and R. v. Mesgun
(1997), 121 C.C.C. (3d) 439 (Ont. C.A.). Some courts of appeal have maintained
that the criteria to be applied are the same, whether the appeal relates to a
verdict or a sentence: see Hogan, supra, at p. 449,
and Edwards, supra, at p. 27. Others have stated that the
rules relating to the admission of fresh evidence were applied more flexibly or
informally in the context of an appeal from a sentence: see Hogan, supra,
at p. 453; Langille, supra; Edwards, supra, at
p. 28; and Riley, supra, at p. 283. However, a careful
review of the jurisprudence reveals that, far from applying different criteria,
courts of appeal have invariably applied the criteria set out in Palmer,
whether expressly or by implication (for examples of the application of the due
diligence criterion, see Lockwood, Hogan, Irwin, Langille,
Edwards and Mesgun; for examples of the application of the
relevance criterion, see Edwards and Lemay; and for an example of
the application of the criteria relating to credibility and effect on the result,
see Langille). In addition, as I have already explained, it is neither
desirable nor really possible to relax the rule laid down in Palmer, in
view of its inherent flexibility and the requirements associated with the
interests of justice.
22
I therefore find that the criteria set out in Palmer are
applicable to applications to tender fresh evidence in an appeal from a
sentence. Before applying these criteria to the two reports in the case at
bar, I believe it is worthwhile to briefly discuss the concepts of
admissibility and probative value in the context of the admission of fresh
evidence on appeal, as well as certain specific characteristics of the
sentencing process.
C. The Concepts of Admissibility and Probative Value
23
In the law of evidence, admissibility and probative value are two
separate concepts: see Morris v. The Queen, [1983] 2 S.C.R. 190, at
pp. 192 (McIntyre J.) and 203 (Lamer J.). The general
principle that applies in respect of admissibility is that relevant evidence is
admissible unless it is subject to any exclusionary rule: see Morris, supra,
at p. 201, and J. Sopinka, S. N. Lederman and A.
W. Bryant, The Law of Evidence in Canada (2nd ed. 1999), at
p. 23. The probative value of admissible evidence is a question for the
trier of fact: Morris, supra, at p. 193 (McIntyre J.).
24
In the context of the admission of fresh evidence on appeal, however,
the concepts of admissibility and probative value overlap. To be
admissible, it is not sufficient that the fresh evidence meet the prerequisite
of relevance. It must also be credible and such that it could, when taken
with the other evidence adduced at trial, be expected to have affected the
result. Accordingly, the probative value of the fresh evidence must, to some
degree, be reviewed by a court of appeal when it is determining the
admissibility of the fresh evidence. The question to be considered was
expressed as follows by McIntyre J. in Palmer, supra, at
pp. 776‑77:
If presented to the trier of fact and believed, would the [fresh]
evidence possess such strength or probative force that it might, taken
with the other evidence adduced, have affected the result? [Emphasis added.]
See also McMartin
v. The Queen, [1964] S.C.R. 484, at p. 491, and R. v. Stolar,
[1988] 1 S.C.R. 480, at pp. 491‑92. The assessment of the
probative value of the fresh evidence is, however, limited, since after
determining that the evidence is credible, the court of appeal must assume that
the trial judge would have believed it. If the fresh evidence is admitted, the
court of appeal must again consider its probative value as well as the
probative value of all the other evidence in order to determine whether the
sentence imposed by the trial judge was “demonstrably unfit”: R. v. Shropshire,
[1995] 4 S.C.R. 227, at paras. 46 and 50; M. (C.A.), supra,
at para. 90; and R. v. Proulx, [2000] 1
S.C.R. 61, 2000 SCC 5, at para. 125.
25
Determining the probative value of fresh evidence on appeal may be a
difficult task, since the evidence has not been put to the test of cross‑examination
or rebuttal at trial. Some courts of appeal express reluctance when they
are asked to admit fresh evidence containing information which the adverse
party has not been able to verify. In Riley, supra, at
p. 284, Pugsley J.A. wrote, for the majority of the Nova Scotia Court
of Appeal:
The panel was concerned, however, about the manner
in which critical information was presented to the court by defence counsel and
the lack of opportunity afforded to the Crown to assess, let alone contest the
information.
See also Archibald,
supra. In my view, where fresh evidence is challenged, or where its
probative value is in dispute, it is desirable that it be tested before being
admitted, primarily for two reasons: (1) this facilitates the determination of
the probative value of the fresh evidence, and (2) this is fairer to the party
objecting to the admission of the fresh evidence. This “testing” can be done
in a number of ways. In Riley, for example, the Nova Scotia Court of
Appeal gave the Crown the opportunity to file affidavits in response to those
submitted by the accused. Courts of appeal may also, for example, allow cross‑examination
of a witness or submission of expert evidence in response to fresh expert
evidence. In other words, they can do everything that the powers conferred on
them by s. 683 of the Criminal Code permit them to do. Courts of
appeal may exercise the powers set out in s. 683 of the Criminal Code ,
in both an appeal from a sentence and an appeal from a verdict: for an example
of the application of s. 683 in an appeal from a sentence, see R. v.
Berry (1997), 196 A.R. 398 (C.A.), at pp. 400‑401.
26
A party who wishes to tender evidence in response to fresh evidence,
cross‑examine the deponent of an affidavit or an expert, or challenge the
fresh evidence in any other way should make a formal motion to the court of
appeal for that purpose. It is not sufficient, as occurred in this case, to
say during argument on the merit of the motion to introduce fresh evidence,
that a party would have liked to cross‑examine the authors of the
reports. In my view, the appellant cannot rely on the fact that there was no
cross‑examination to argue that the fresh evidence should not have been
admitted, since it was up to the appellant to seek leave from the court of
appeal, at the appropriate time, to cross‑examine the authors of the
reports in dispute.
27
Nonetheless, the failure to put the fresh evidence to the test is not
fatal and does not make it automatically admissible or inadmissible. To be
admissible on appeal, fresh evidence must satisfy the criteria set out in Palmer.
Despite its not having been tested, the court of appeal must assess the prima
facie relevance, credibility and probative value of the fresh evidence. It
must determine whether the fresh evidence has such probative force that if
presented to the trial judge and believed it could be expected to have affected
the result. In the case of an expert opinion, the probative value to be
assigned to it is directly related to the amount and quality of admissible
evidence on which it relies: R. v. Lavallee, [1990] 1 S.C.R. 852,
at p. 897.
28
To summarize, the probative value of fresh evidence must be considered
in order to determine whether it is admissible on appeal. To facilitate
determination of the probative value of fresh evidence, it is desirable that it
be tested by the party challenging it. For this purpose, that party should
make a formal motion to the court of appeal and explain how it wishes to test
the fresh evidence. Failure by a party to test fresh evidence does not relieve
a court of appeal from applying the criteria established in Palmer.
29
The application of those criteria in the context of an appeal from a
sentence will inevitably be influenced by the specific characteristics of the
sentencing process, even though the criteria for the admission of fresh
evidence remain fundamentally the same. I will now briefly consider some of
these specific characteristics and their interaction with the Palmer criteria.
D. Application of the Criteria in the Context of an Appeal
Against Sentence
30
As pointed out by Macdonald J.A. in Langille, supra,
the strict rules of a trial do not apply to a sentencing hearing. For example,
hearsay evidence may be accepted at the sentencing stage where found to be
credible and trustworthy: see R. v. Gardiner,
[1982] 2 S.C.R. 368, at p. 414. This relaxation of the rules is explained
by the fact that the judge must determine the appropriate sentence for the
accused, and to do so must have as much information as possible about him. In
my view, the Palmer criteria do not compromise the more flexible nature
of the rules relating to the sources and types of evidence on which judges may
base their sentences. The criteria concerning the admission of fresh evidence
on appeal do not relate to the sources and types of evidence and do not demand
that the strict rules of a trial apply to fresh evidence proffered on an appeal
from a sentence. To be admissible, the fresh evidence need only be relevant
and credible and, when taken with the other evidence adduced at trial, be
expected to have affected the result. The purpose of the due diligence
criterion is to protect the interests and the administration of justice and to
preserve the role of appeal courts: see: M. (P.S.), supra.
31
Another specific characteristic of the sentencing process that should be
emphasized is the importance of opinion evidence. At the sentencing stage,
judges must often consider reports prepared by probation officers, correctional
service officers, psychologists or psychiatrists reporting their opinions
concerning the personality of the accused, and his or her chances of
rehabilitation and risk of reoffending. As I have already noted, the probative
value to be assigned to an expert opinion is directly related to the amount and
quality of admissible evidence on which it relies: Lavallee, supra,
at p. 897. Accordingly, before admitting new opinion evidence on appeal,
it may be necessary to determine the basis of that opinion (for example, the
version of events relied on by the expert, the documents he or she consulted,
and so forth) and to establish whether the facts on which the opinion is based
have been proven and are credible.
32
Quite often, fresh evidence submitted to an appeal court in the context
of an appeal from a sentence relates to events subsequent to the sentence, or
consists of information from the penitentiary administration relating to an
accused’s progress in terms of adjustment and rehabilitation: see, for example,
Archibald, Lemay, Gauthier, McDow, Riley and
Mesgun. It is frequently the case that the Crown consents to the
introduction of this fresh evidence, since the facts reported are seldom
controversial: see Edwards, supra, at p. 28; Gauthier,
supra, at para. 14; McDow, supra, at para. 18; Mesgun,
supra, at para. 8; and C. Ruby, Sentencing (5th ed.
1999), at p. 607. In the case at bar, the appellant consented to the
production of the report by Jacques Bigras, the psychologist. It is important
to bear in mind that whether or not consent is given, the production of fresh
evidence on appeal is possible only with the leave of the court of appeal: Hogan,
supra, at p. 448. Evidence relating to events subsequent to
the sentence or an accused’s rehabilitation process normally meet the due
diligence criterion, since by their very nature they were not available at the
time of sentencing. However, in order to be found to be admissible, the
evidence must also satisfy the other criteria, particularly the criterion relating
to the likelihood that the result would be affected. The court of appeal may
properly take into account the fact that the Crown has consented or that
admission is uncontested particularly when assessing the relevance, credibility
and probative value of fresh evidence.
33
Having completed my review of the concepts of admissibility and
probative value and of the specific characteristics of the sentencing process,
I now turn to the application of the Palmer criteria to the two reports
in question in the instant case.
E. Application to the Case at Bar
34
In this case, the majority of the Court of Appeal found (at
para. 16) that the report by the psychologist, Mr. Daigle, was admissible
because it explained the respondent’s past in greater detail and showed his
personality from a perspective that was not evident in the trial record. The
report by the psychiatrist, Dr. Morissette, was admitted in evidence because it
shed additional light on Mr. Daigle’s report (para. 17). In my opinion,
these grounds are inadequate to justify the admission of those two reports,
since they could justify the admission of a very broad range of additional
evidence on appeal. Furthermore, the admission of any evidence on appeal
which merely adds certain details to or clarifies the evidence adduced at trial
would be contrary to the Palmer criteria and the limited role of
appellate courts in respect of sentencing.
35
In my view, neither of these two reports should have been admitted in
evidence. It is worthwhile to reproduce the applicable criteria again, that
is, the criteria set out in Palmer:
(1) The evidence should generally not be admitted if, by due
diligence, it could have been adduced at trial provided that this general
principle will not be applied as strictly in a criminal case as in civil cases.
(2) The evidence must be relevant in the sense that it bears
upon a decisive or potentially decisive issue relating to the sentence.
(3) The evidence must be credible in the sense that it is
reasonably capable of belief.
(4) The evidence must be such that if believed it could
reasonably, when taken with the other evidence adduced at trial, be expected to
have affected the result.
1. Report by the Psychologist, Mr.
Daigle
36
The report by Mr. Daigle, a psychologist, is relevant in that it
expresses opinions regarding the respondent’s personality, dangerousness and
risk of reoffending. In addition, this report is reasonably capable of belief,
particularly in that it was prepared independently and not at the request of
the respondent. In addition, it can be concluded that this report satisfies
the due diligence criterion. Although Mr. Daigle relied on facts prior to
sentencing and the respondent could have sought the opinion of another
psychologist concerning his personality and dangerousness, this particular
report was not available at the time of sentencing and the respondent could not
have obtained it before sentencing. This report was prepared for
classification purposes for Correctional Service Canada, while the respondent
was at the Regional Reception Centre in Québec.
37
Despite the foregoing, I find that Mr. Daigle’s report should not have
been admitted in evidence by the Court of Appeal, since its probative value is
not such that if it had been presented to the trial judge it might have
affected the result. I note, first, that Mr. Daigle did not look into the
proceedings at trial, did not read the testimony and did not consult the court
documents (p. 1 of the report). While he did not prepare his report at
the respondent’s request, he relied only on his version of the facts. That
version portrays the respondent as a victim who did not wish to commit the
robbery and was allegedly acting in response to threats by his accomplices
(pp. 1‑2 of the report). This account makes no mention of the
violence and the threats against the child. In addition, according to the
report, Bertrand Fortier attacked the respondent rather than the reverse
(p. 2 of the report). As well, the respondent told Mr. Daigle that he
wanted to commit the robbery in order to win back his former girlfriend
(p. 7 of the report).
38
The version of the facts set out in Mr. Daigle’s report differs in quite
a few respects from the version given by the respondent under oath at
trial. I will point out only the most obvious contradictions: the
respondent stated during his testimony that he wanted to commit the robbery to
repay a drug debt; that he planned the crime with one of his accomplices; and
that he grabbed Bertrand Fortier while he was sitting in the living room.
39
It is true that the version of the facts set out in Mr. Daigle’s report
is not wholly inconsistent with the respondent’s testimony at trial. In
that testimony, the respondent also sought to portray himself as a victim by
claiming that he did not want to commit the robbery; that he would have run
away if the opportunity had presented itself; and that he was only following
the orders of his accomplices when he tied up the Fortier boy, put a cartridge
in his mouth and took him hostage. However, the respondent’s testimony is
confused and full of contradictions, and is also inconsistent with the account
given by the Fortier family. The trial judge clearly rejected the respondent’s
version of the facts. He found that the crime was planned (pp. 4‑6
of the reasons) and that the respondent scratched the face of the Fortier boy
with his weapon (p. 6 of the reasons) and threatened to kill him several
times (p. 4 of the reasons). He also stated, at p. 7 of his reasons:
[translation] Your
submissions at the beginning of the sentencing submissions dealt a lot with how
you were in fact a victim, I was talking about bad luck just now, we
choose our friends, we choose our girlfriends. When something goes wrong, you
can’t always blame other people.
It is quite
clear from an exchange between the trial judge and counsel for the respondent
just before sentencing that the judge did not assign much weight to the defence
theory that the respondent was a victim in this case.
40
Mr. Daigle therefore relied on a version of the facts that was not
accepted by the trial judge, or on facts that were not established in evidence.
Since the probative value of an expert opinion depends on the amount and
quality of admissible evidence on which it relies (Lavallee, supra,
at p. 897), I find that little probative value can be assigned to the
psychologist’s report prepared by Mr. Daigle. Having regard to that low
probative value and the fact that the trial judge, on passing sentence,
stressed the seriousness of the offences committed by the respondent rather
than his personality, I am of the view that Mr. Daigle’s report would not have
affected the result if it had been introduced at trial with the other
evidence. Accordingly, the Court of Appeal should not have admitted it in
evidence, since it does not meet the Palmer criteria.
2. Report by the Psychiatrist, Dr.
Morissette
41
The report prepared by Dr. Morissette, a psychiatrist, does not meet the
due diligence criterion. It is dated March 17, 1998, that is, more
than a year after sentencing. Unlike the report by the psychologist, Mr.
Daigle, Dr. Morissette’s opinion was solicited by the respondent. I agree with
Chamberland J.A. that the respondent, by exercising minimal diligence,
could have sought this opinion before sentence was passed and submitted Dr.
Morissette’s report to the trial judge for the purpose of countering the
probation officer’s opinion concerning his personality (see Mesgun, supra,
at para. 8).
42
Nonetheless, failure to meet the due diligence criterion is not always
fatal: Warsing, supra, at para. 51. It is therefore
necessary to consider the other three criteria set out in Palmer in
order to determine whether their strength is such that failure to satisfy the
due diligence requirement is overborne: R. v. McAnespie, [1993] 4 S.C.R.
501, at pp. 502‑3.
43
Like the psychologist’s report prepared by Mr. Daigle, the
psychiatrist’s report written by Dr. Morissette is relevant, since it
communicates an opinion concerning the respondent’s personality, danger to
others and risk of reoffending. Furthermore, there is nothing to indicate that
it is not reasonably capable of belief, even though it was prepared at the
respondent’s request. However, its probative value is low. Like the
psychologist, Mr. Daigle, Dr. Morissette based his opinion on a version of the
facts that was not established or adopted at trial. Although he reviewed
the report prepared by the probation officer, he does not seem to have read the
testimony or consulted the trial transcript. His description of the events of
June 22, 1996, is very brief and does not reflect the seriousness of the
offences committed or the violence employed. Furthermore, the respondent gave
Dr. Morissette an explanation that was completely different from the
explanation he gave under oath in respect of his participation in the events.
At p. 15 of the report we read:
[translation] Mr. Lévesque
now explains that at the time of his arrest and when he arrived at the
penitentiary, he did not to want to say that he had committed a robbery for a
woman . . ., he did not want to say that he was so dependent on a
woman that he would commit a robbery . . . He felt that it would
look “better” if he explained the reason for his robbery in terms of a drug
debt. He is now telling us that he never had a drug debt, that he never
cheated a drug dealer. According to his explanation, the only purpose of the
robbery was financial gain in order to impress Francine, since
Mr. Lévesque felt that if he had more money she might come back to him.
In addition,
none of the details of the respondent’s love life referred to by Dr. Morissette
were established in evidence at trial. Thus, for the reasons I stated
concerning the psychologist’s report by Mr. Daigle, I find that the
psychiatrist’s report by Dr. Morissette is of little probative value and would
not have affected the result if it had been adduced at trial with the other
evidence.
44
In my view, as in McAnespie, supra, at pp. 502‑3,
“the strength of the other factors is not such that failure to satisfy
the due diligence requirement in this case is overborne by the other factors”
(emphasis in original). Accordingly, the report by the psychiatrist, Dr.
Morissette, should not have been admitted in evidence on appeal.
VI. Disposition
45
For the foregoing reasons, I would allow the appeal, set aside the
judgment of the Court of Appeal of Quebec and, for the reasons stated by
Chamberland J.A., substitute a sentence of imprisonment for eight years
and six months for the sentence imposed by the trial judge.
The following are the reasons delivered by
46
Arbour J. (dissenting) --
I have had the benefit of the reasons of my colleague, Justice Gonthier, on
this appeal. With respect, on the very particular facts of this case, I
believe that the majority of the Court of Appeal was entitled to admit the
reports prepared respectively by Marc Daigle and Dr. Louis Morissette. Here,
the trial judge fundamentally mischaracterized the principal crime, of which
the respondent had been convicted, in determining the just and appropriate
sentence, with the result that the Court of Appeal was, for all intents and
purposes, required to sentence afresh. In these specific circumstances, it was
for the Court of Appeal to equip itself, pursuant to its broad statutory
discretion under s. 683(1) of the Criminal Code, R.S.C., 1985, c.
C-46 , with whatever evidence it deemed fit and necessary to decide the question
of sentence. Accordingly, I would dismiss the appeal.
47
I am in general agreement with the statement of the law governing the
admission of fresh evidence in appeals against sentence, provided by my
colleague at paras. 16-22 of his opinion. However, in view of the fundamental
error committed by the trial judge, I do not believe that the principles articulated
by Gonthier J. are germane to the disposition of this appeal. I must also
emphatically disagree with Gonthier J. that R. v. Lavallee, [1990] 1
S.C.R. 852 (per Wilson J.), applies as stringently as he suggests in the
sentencing context.
48
The Court of Appeal was unanimous that the trial judge erred in
concluding that kidnapping for ransom was the dominant offence committed by the
respondent. There is no challenge before us to the unanimous conclusion of the
Court of Appeal that robbery was the central, predominant offence, the
hostage-taking being merely [translation]
“ancillary to the main criminal operation carried out by the [respondent] and
his cohorts” ([1998] Q.J. No. 2680 (QL), at para. 35).
49
The trial judge’s initial error in identifying kidnapping as the [translation] “central matter alleged”
against the respondent, which he described as [translation] “one of the most serious crime in the Criminal
Code . . . right after murder” (see C.Q., No. 505-01-008036-960, February 19,
1997, at p. 2), tainted his entire analysis, and produced a sentence that did
not accurately reflect the circumstances of the offence. The Court of Appeal’s
task was thus not simply to assess the fitness of the sentence imposed at first
instance, and, to this end, to determine the admissibility of the reports
tendered by the respondent as fresh evidence on appeal. Instead, having set
aside the sentence, the Court of Appeal was required to intervene essentially
for the purpose of sentencing the respondent anew. In these circumstances, I
believe that the Court of Appeal was entitled to consider what it deemed to be
evidence relevant to the exercise of determining a just and appropriate
sentence. Like a sentencing judge, a court of appeal, in circumstances such as
these, must
ha[ve] wide latitude as to the sources and types of evidence upon which
to base [its] sentence. [It] must have the fullest possible information
concerning the background of the accused if [it] is to fit the sentence to the
offender rather than to the crime.
(R. v. Gardiner, [1982] 2 S.C.R. 368, per Dickson J. (as
he then was), at p. 414.)
50
This “wide latitude” reflects the legal environment of a sentencing
hearing – described in R. v. M. (C.A.), [1996] 1 S.C.R. 500, at para.
92, as an “inherently individualized process” – wherein the sentencing judge’s
task is to develop a composite picture or understanding of the offender,
including his past and present circumstances as well as his prospects for
rehabilitation and the danger that he will re-offend, with a view to crafting
a just and appropriate sentence. In this environment, as was recognized in Gardiner,
supra, at p. 414:
. . . it is manifest that the judge should not be denied an opportunity
to obtain relevant information by the imposition of all the restrictive
evidential rules common to a trial. . . .
It is commonplace that the strict rules which govern at trial
do not apply at a sentencing hearing and it would be undesirable to have the
formalities and technicalities characteristic of the normal adversary
proceeding prevail. The hearsay rule does not govern the sentencing hearing.
Hearsay evidence may be accepted where found to be credible and trustworthy.
51
The holding in Lavallee, supra, that the weight properly
attributable to expert opinion is a direct function of the amount and quality
of admissible evidence on which it is based, is a product of the general rule
governing the inadmissibility of hearsay evidence at trial, where considerations
of probative value are critical to the presumption of innocence and the
fundamental fairness of the trial process. The sentencing environment is
entirely different and permits, indeed encourages, recourse to evidentiary
materials that would not be appropriate in the determination of guilt or
innocence. Hearsay evidence is admissible in sentencing proceedings (see s.
723(5) of the Code). For example, probation officers’ reports, produced
pursuant to s. 721 of the Code, will inevitably contain opinions and
hearsay of the type that would not be admissible at trial. Similarly, victim
impact statements, prepared in accordance with s. 722(2) of the Code,
must be considered by the sentencing judge, and may be given whatever weight
the sentencing judge sees fit, regardless of the fact that they often contain
non-expert opinions and hearsay information that would have no probative value,
even if relevant, in the trial proper. Finally, s. 724(1) of the Code
explicitly provides that “[i]n determining a sentence, a court may accept as
proved any information disclosed at the trial or at the sentencing proceedings.
. .”.
52
In my opinion, the nature of the sentencing process, and of the
statutory rules that govern it, contemplate that the sentencing court should
have the benefit of “the fullest possible information concerning the background
of the [offender]”, from the widest array of sources. It is therefore
inappropriate to tie the probative value of evidence tendered under these rules
to the probative value of evidence proffered at trial, and thus, more
specifically, to assess the weight of an expert opinion on the basis of the
quantity and quality of non-hearsay evidence introduced to support that
opinion. Indeed, such a requirement would largely rob the permissive use of
hearsay, recognized and endorsed by this Court in Gardiner, supra,
of all its utility. A sentencing court must be entitled to receive and rely on
any credible and trustworthy evidence which assists it in obtaining as complete
an understanding of the offender as possible. The extent to which evidence
presented on sentencing conflicts with the facts upon which the conviction was
founded is a matter for the sentencing court to take into consideration, but is
not, as such, a matter for exclusion of the evidence in question. A sentencing
court is entitled to discount any part of an expert opinion that may be based
on a misapprehension of the circumstances of the offence as found by the trial
judge, while making use of any insight that the opinion may properly provide
into the personality of the accused, his personal and emotional life, as well
as his dangerousness and risk of recidivism.
53
In the case at bar, while I accept that the Daigle and Morissette
reports each contain an account of the events surrounding the offences
committed by the respondent that differ from facts accepted by the trial judge,
I cannot agree that they are of little probative value.
54
In my opinion, it was open to the Court of Appeal to find both reports
sufficiently credible and trustworthy to assist in the development of a fuller
picture of the respondent, based as they were on the experts’ face-to-face
psychological assessment and evaluation of the former. As such, I believe that
the Court of Appeal was entitled to consider and rely on all or part of the
opinions offered therein in sentencing the respondent. Even though the Daigle
and Morissette reports were tendered as fresh evidence on appeal, they were not
tendered simply to demonstrate that the sentence imposed by the trial judge was
unfit, in light of the subsequent opinions offered by these experts. As
indicated above, the sentence imposed by the trial judge was unfit because of
his misunderstanding of the central offence of which the respondent was
convicted. Having set aside that sentence, the Court of Appeal was free to admit
any evidence that it deemed to be of assistance in discharging its sentencing
function.
55
For these reasons, I believe that the Court of Appeal’s decision to
admit the reports by Marc Daigle and Dr. Morissette was correct and should be
upheld. I would therefore dismiss the appeal.
Appeal allowed, Arbour J.
dissenting.
Solicitor for the appellant: The Attorney General of Quebec,
Longueuil.
Solicitors for the respondent: Silver, Morena, Montréal.
See Erratum [2001] 3 S.C.R. iv.