Table of Contents 1 INTRODUCTION... 1-1 1.1 HISTORICAL PERSPECTIVE... 1-1 (a) Pre-1992 Amendments... 1-1 (b) The Reform Movement... 1-4 (c) The Swain Decision... 1-6 (d) The 1992 Amendments: Part XX.1 of the Criminal Code... 1-9 (i) The NCR Defence... 1-11 (ii) Fitness to Stand Trial... 1-11 (iii) Assessment Orders... 1-12 (iv) Protected Statements... 1-13 (v) Hospital Orders (Unproclaimed)... 1-13 (vi) Capping and Mentally Disordered Dangerous Accused (Unproclaimed)... 1-13 1.2 BEYOND THE 1992 AMENDMENTS... 1-16 (a) The Winko Decision... 1-17 (b) Report of the Standing Committee on Justice and Human Rights... 1-19 (c) Bill C-10... 1-19 (i) Review Board Powers... 1-20 (ii) Permanently Unfit Accused... 1-21 (iii) Repeal of Bill C-30s Unproclaimed Provisions: Capping, Dangerous Mentally Disordered Accused and Hospital Orders... 1-23 (iv) Victims... 1-24 (v) Police Powers... 1-25 (d) Issues for Future Consideration... 1-27 (e) Bill C-54: New Measures for High Risk NCR Offenders... 1-30 1.3 FITNESS AND NCR PROCEDURAL FLOW CHART... 1-32 2 ASSESSMENT ORDERS... 2-1 2.1 THE APPLICATION PROCESS... 2-1 (a) Timing of Order... 2-1 (b) Precedence over Bail Hearing... 2-5 (c) Legal Representation at Assessment Stage... 2-6 2.2 PURPOSES... 2-8 (a) Court-Ordered Assessments... 2-8 (i) To Determine Fitness and Criminal Responsibility... 2-8 (ii) For Purposes of Bail... 2-10 (iii) For Sentencing Purposes... 2-14 (iv) For Dangerous Offender and Long-Term Offender Applications... 2-14-10 (v) For Permanently Unfit Accused... 2-14.11 (b) Review Board Assessments... 2-14.11 CON-1 (Mental Disorder) (2013-3)
MENTAL DISORDER (i) Payment of Costs of Review Board Assessments... 2-14.14 (c) Treatment is Not Authorized... 2-14.15 2.3 GROUNDS... 2-14.16 (a) Evidence to Support Order... 2-14.16 (b) Establishing the Necessity of an Assessment... 2-15 2.4 THE ASSESSMENT ORDER... 2-18 (a) General Contents and Form... 2-18 (b) The Assessor... 2-19 (c) Custodial vs. Non-Custodial Assessments... 2-21 (i) Court-Ordered Assessments... 2-21 (ii) Review Board Assessments... 2-23 (iii) Remands to a Correctional Facility Pending an Assessment... 2-23 (d) Duration of Assessment... 2-34 (e) Variation of Order... 2-35 (f) Contravention of Order... 2-37 2.5 ASSESSMENT REPORTS... 2-38 2.6 STATEMENTS MADE DURING THE ASSESSMENT PROCESS... 2-38.2 (a) General Principles... 2-38.2 (b) The Scope of Statutory Protection... 2-40 (c) What is a Protected Statement?... 2-45 (d) The Admission of Protected Statements... 2-48 (i) To Challenge the Accused s Credibility... 2-48 (ii) Sentencing Proceedings... 2-51 (iii) Bail Proceedings... 2-55 (iv) Non-Criminal Proceedings... 2-57 (e) Limiting the Use of Protected Statements for Other Purposes... 2-57 (f) The Voluntariness of Protected Statements... 2-59 (g) The Weight of Protected Statements... 2-60 2.7 ACCUSED S REFUSAL TO SUBMIT TO A CROWN REQUESTED PSYCHIATRIC ASSESSMENT... 2-61 2.8 ASSESSMENTS OF YOUNG OFFENDERS... 2-63 (a) Applicability of Criminal Code Provisions... 2-63 (b) Timing of Order... 2-64 (c) Purposes... 2-65 (d) Presumption Against Custody... 2-66.1 (e) The Assessment Report... 2-67 (f) The Assessor... 2-68 (g) Statements Made During an Assessment... 2-68 3 FITNESS TO STAND TRIAL... 3-1 3.1 THE CONCEPT OF FITNESS... 3-1 3.2 THE TEST FOR FITNESS... 3-2 (a) Understanding the Proceedings and the Possible Consequences... 3-3 CON-2
TABLE OF CONTENTS (b) Communicate with Counsel... 3-6 (c) The Implications of the Taylor Decision... 3-7 (d) Fitness versus Capacity... 3-14.2 3.3 THE FIRST STAGE RAISING THE ISSUE OF FITNESS... 3-16 (a) Who Can Raise the Issue... 3-17 (b) The Assessment Process... 3-20.1 3.4 THE SECOND STAGE THE FITNESS HEARING... 3-23 (a) The Burden of Proof... 3-24 (b) A Lawyer Must Represent the Accused... 3-24 (c) Timing... 3-27 (d) Pre-Trial... 3-29 (e) During the Trial... 3-30 (i) Judge Alone... 3-30 (ii) Judge and Jury Trial... 3-30.1 (f) Nature of the Evidence... 3-31 (g) Removal of the Accused... 3-33 3.5 THE ACCUSED FOUND FIT... 3-33 3.6 THE ACCUSED FOUND UNFIT... 3-34 (a) Treatment Orders... 3-34.1 (b) Disposition Hearings... 3-37 (c) Change in Fitness Status... 3-37 (i) Return to a Fit State... 3-38 (ii) Prima Facie Hearings... 3-40 (d) The Permanently Unfit... 3-41 (i) The Constitutional Issue... 3-41 (ii) Parliament s Response... 3-42.1 (iii) The Application of the Scheme... 3-43 (A) Crown Discretion... 3-47 (e) Fitness Procedural Flow Chart... 3-48 3.7 YOUNG PERSONS... 3-48.2 3.8 EXTENDING THE FITNESS REGIME... 3-48.2 (a) The Sentencing Hearing... 3-48.2 (b) The Extradition Process... 3-52 (c) The Appeal Process... 3-53 4 THE NCR DEFENCE... 4-1 4.1 COMMON LAW ORIGIN... 4-1 4.2 THE CANADIAN APPROACH TO INSANITY... 4-3 4.3 THE NCR DEFENCE... 4-7 (a) Threshold Condition: Mental Disorder/Disease of the Mind... 4-9 (i) Legal Concept/Question of Law... 4-9 (ii) Definition... 4-13 (iii) Establishing that the Condition is a Disease of the Mind... 4-24 (A) The Medical Component... 4-24 (B) The Legal Component... 4-25 CON-3 (Mental Disorder) (2013-3)
MENTAL DISORDER (b) (I) The Internal Cause and Continuing Danger Theories... 4-26 (iv) Irresistible Impulse... 4-34.1 (v) Self-Induced Psychotic States... 4-34.1 Establishing the Effect of the Mental Disorder on the Accused s Capacities... 4-34.9 (i) Incapable of Appreciating the Nature and Quality of the Act or Omission... 4-34.9 (ii) Knowing the Act or Omission to be Wrong... 4-34.13 4.4 PROCEDURAL ISSUES... 4-37 (a) Raising the Issue of Criminal Responsibility: Who and When?... 4-37 (i) The Defence... 4-38 (A) Raising NCR after a Finding of Guilt... 4-40 (ii) The Crown... 4-43 (A) Raising NCR for the First Time on Appeal... 4-48 (iii) The Court... 4-50 (iv) Procedure for Consent NCR Findings... 4-53 (b) Jury Instructions... 4-55 (i) W. (D.) Instruction in NCR Cases... 4-58.3 (ii) Drawing of Adverse Inferences... 4-58.4 (iii) Instructing the Jury on the Consequences of an NCR Verdict... 4-58.6 (iv) Standard Jury Instructions... 4-58.8 (c) NCR Procedural Flow Chart... 4-58.14 4.5 EVIDENTIARY ISSUES... 4-58.17 (a) Burden of Proof... 4-58.17 (b) Does the Accused Have to Testify?... 4-59 (c) The Need for Expert Evidence... 4-63 (i) Expert s Reliance Upon Hearsay Evidence... 4-64 (ii) Expert Evidence Adduced by the Accused... 4-66 (iii) Must the Crown Call Rebuttal Expert Evidence?... 4-70 (d) Post-Offence Conduct... 4-74 4.6 THE EFFECT OF AN NCR VERDICT... 4-75 (a) Statutory Provisions... 4-75 (b) Consideration of an NCR Verdict in Subsequent Unrelated Proceedings... 4-77 (c) NCR Verdicts in Respect of Summary Conviction Offences... 4-78 (d) Mental Disorder Defences in Respect of Regulatory Offences... 4-78 (e) Other Orders Available as a Result of an NCR Verdict... 4-80 (i) DNA Data Bank Orders... 4-80 (ii) Sex Offender Registry... 4-81 5 AUTOMATISM... 5-1 5.1 INTRODUCTION... 5-1 5.2 AUTOMATISM DEFINED... 5-2 (a) Mental Disorder vs. Non-Mental Disorder Automatism... 5-3 CON-4
TABLE OF CONTENTS (b) Raising Automatism as a Defence... 5-7 (i) The Reverse Onus and Standard of Proof... 5-7 (ii) Step 1: Establishing a Proper Foundation... 5-11 (iii) Step 2: Determining Whether to Leave Mental Disorder or Non-Mental Disorder Automatism with the Trier of Fact... 5-14 (A) The Internal Cause Factor... 5-19 (B) The Continuing Danger Factor... 5-21 (C) Other Policy Factors... 5-22.2 (c) Jury Instructions... 5-24 (i) Model Jury Instructions... 5-25 6 MENTAL DISORDER IN A NON-NCR CONTEXT... 6-1 6.1 THE UNIFORM STANDARD FOR ASSESSING CLAIMS OF MENTAL INCOMPENTENCY... 6-1 (a) Voluntariness of Statements to Persons In Authority... 6-4 (i) The Right to Silence... 6-5 (ii) The Right to Counsel... 6-6 (b) The Right to Effective Representation... 6-7 (c) Setting Aside a Guilty Plea... 6-9 6.2 THE RELEVANCE OF MENTAL ILLNESS TO INTENT... 6-10 6.3 EXPERT PSYCHIATRIC OPINION EVIDENCE AS IT RELATES TO DISPOSITION... 6-13 (a) Disposition of the Perpetrator and Accused... 6-13 (i) Relevance... 6-15 (ii) Necessity in Assisting the Trier of Fact... 6-19 (b) Disposition of a Third Party... 6-20 (c) Reply Evidence... 6-21 6.4 INFANTICIDE... 6-24 (a) Infanticide as a Substantive Offence... 6-25 (i) The Elements of the Offence... 6-25 (ii) The Mens Rea Requirement... 6-26 (iii) Burden of Proof... 6-26 (iv) The disturbed mind requirement... 6-27 (b) Infanticide as a Defence or Included Offence... 6-30 (i) Burden of Proof... 6-31 (ii) Jury Instructions Where Infanticide Is Raised as a Defence... 6-32 6.5 THE RELEVANCE OF MENTAL ILLNESS TO SENTENCING... 6-33 (a) Objectives of Sentencing... 6-36 (i) Denunciation... 6-36 (ii) General Deterrence... 6-36 (iii) Specific Deterrence... 6-37 (iv) Separation from Public... 6-37 (v) Rehabilitation... 6-38 CON-5 (Mental Disorder) (2013-3)
MENTAL DISORDER (b) Court Ordered Treatment... 6-41 (i) The Conditional Sentence Regime... 6-42 (ii) Probation... 6-44 (iii) Long-term Supervision Orders... 6-46 (iv) Intensive Rehabilitative Custody and Supervision Orders... 6-47 (c) Psychiatric Assessments for Sentencing Purposes... 6-49 (i) Using an Earlier Assessment Prepared for a Different Purpose... 6-49 (ii) Relying on Provincial Legislation... 6-51 (iii) Using the General Sentencing Powers in the Code... 6-52 (iv) The Youth Criminal Justice Act... 6-53 (v) Admissibility of Opinion Evidence... 6-54 7 REVIEW BOARDS... 7-1 7.1 HISTORICAL OVERVIEW... 7-1 7.2 MANDATORY ESTABLISHMENT OF REVIEW BOARDS... 7-4 7.3 COMPOSITION OF BOARD... 7-4 (a) Chairperson... 7-5 (b) Quorum and Majority Vote... 7-6 7.4 STATUTORY POWERS OF REVIEW BOARDS... 7-6 (a) Power to Compel Accused s Appearance... 7-7 (b) Power to Appoint Counsel for Unrepresented Accused... 7-8 (c) Power to Adjourn Proceedings... 7-10 (d) Rule-Making Power... 7-13 (e) Power to Gather Evidence... 7-13 (f) Power to Order an Assessment... 7-19 (i) Power to Order the Payment of Costs of an Assessment... 7-20 (g) Power to Make Orders that Bind Persons Other Than the Accused... 7-21 (h) Power to Delay the Effective Date of a Disposition Order... 7-24 (i) Power to Prevent Breaches of Disposition Order if Offender is Living in the Community... 7-25 (j) Powers Following a Verdict of Unfit to Stand Trial... 7-28 7.5 TYPES OF HEARINGS... 7-29 (a) Alternative Hearing Procedures... 7-31 (b) Hearings Ordered by an Appellate Court... 7-33 7.6 JURISDICTION OF REVIEW BOARDS AND SECTION 24 OF THE CHARTER... 7-35 (a) The Conway Decision... 7-35 (b) Remedies Available... 7-38 (c) The Appropriate Forum: Superior Court or the Review Board... 7-43 8 DISPOSITION HEARINGS: VENUE, PROCEDURE AND EVIDENCE... 8-1 8.1 VENUE OF THE INITIAL HEARING: COURT VS. REVIEW BOARD... 8-1 CON-6
TABLE OF CONTENTS (a) Transmittal of Transcript and Other Material to Review Board... 8-3 (b) Status Quo Pending Review Board Hearing... 8-4 8.2 PROCEDURAL ISSUES... 8-4.2 (a) General Procedure... 8-4.2 (b) Parties to a Disposition Hearing... 8-5 (i) Presence of the Accused... 8-7 (ii) Right to Counsel... 8-9 (c) Notice of Hearing... 8-11 (d) Adjournments... 8-11 (e) Public Hearing... 8-12.1 (f) Publication Bans... 8-14.1 (g) Duty to Keep a Record... 8-16 (h) Accessing the Record and Disposition Information... 8-17 (i) Access by Parties... 8-17 (ii) Access by Third Parties... 8-19 (i) Charter Remedies... 8-22 (j) Procedural Irregularities and Non-Compliance with Statutory Time Limits... 8-24.3 (k) Reasons for Disposition... 8-24.5 8.3 EVIDENCE AT DISPOSITION HEARINGS... 8-24.5 (a) General Principles... 8-24.5 (b) Documentary Evidence... 8-26 (i) The Hospital Report... 8-26 (ii) Risk Appraisals... 8-28 (iii) The Clinical Record... 8-29 (iv) Evidence Relating to the Index Offence... 8-29 (v) Allegations of Criminal Behaviour... 8-30 (vi) Victim Impact Statements... 8-32.1 (A) Defining the Term Victim... 8-34 (B) Notification Requirements... 8-34 (C) Content... 8-37 (D) Filing... 8-39 (E) Presentation of Statement... 8-39 (c) Viva Voce Evidence... 8-40 (d) The Duty to Gather Further Evidence... 8-40 9 SECTION 672.54: NCR AND FITNESS DISPOSITIONS... 9-1 9.1 SECTION 672.54 DISPOSITIONS... 9-2 (a) General Principles... 9-2 (b) Absolute Discharges... 9-3 (c) Hospital Detention Orders and Conditional Discharges... 9-6 (d) Effective Date of the Disposition... 9-13 (e) Risk of Indeterminate Detention... 9-16 9.2 THE KEY ISSUE: IS THE ACCUSED A SIGNIFICANT THREAT TO PUBLIC SAFETY?... 9-18 (a) The Winko Test... 9-18 CON-7 (Mental Disorder) (2013-3)
MENTAL DISORDER (b) Defining a Significant Threat to the Safety of the Public... 9-22 (c) Determining Whether the Accused is a Significant Threat... 9-26 (i) Relevant Factors... 9-26 (ii) Standard of Proof and Reliance Upon Future Behaviour... 9-31 9.3 DETERMINING THE LEAST ONEROUS AND LEAST RESTRICTIVE DISPOSITION... 9-34 (a) General Principles... 9-34 (b) The Statutory Factors... 9-36 (i) The Need to Protect the Public from Dangerous Persons... 9-36 (ii) The Mental Condition of the Accused... 9-37 (iii) The Reintegration of the Accused into Society and the Other Needs of the Accused... 9-40 (c) Terms of a Hospital Detention Order or Conditional Discharge... 9-42 (i) The Tulikorpi Decision... 9-42 (ii) Hospital Detention Order vs. Conditional Discharge... 9-44 (iii) Common Terms... 9-48.1 (iv) Terms That Bind Persons Other Than the Accused... 9-51 (v) Terms Relating to Medical Treatment... 9-52 (vi) Terms That Delegate Authority... 9-59 (vii) Interim Privileges Pending Transfer... 9-64 (viii) Anticipatory Conditions... 9-65 10 REVIEW OF DISPOSITIONS... 10-1 10.1 MANDATORY REVIEWS... 10-2 (a) The Initial Hearing by the Court or Review Board... 10-2 (b) The Annual Review Hearing (NCR and Unfit Accused)... 10-3 (c) The Extended Review Hearing... 10-4.1 (i) Extensions on Consent... 10-4.1 (ii) Extensions for Serious Personal Violence Offences... 10-5 (d) Hospital Request/Significant Increase in Liberty Restrictions Hearings... 10-8 (i) Hospital Request... 10-9 (ii) Significant Increase in Liberty Restrictions... 10-10 (e) Dual Status Offender Hearings... 10-14 10.2 DISCRETIONARY REVIEWS... 10-14 (a) Hearing at the Request of the Accused or Any Other Party... 10-14 (b) Arrest for Breach of Disposition Hearing... 10-16 10.3 PROCEDURE... 10-16 (a) Compelling the Attendance of the Accused... 10-18 (b) The Nature of the Review: Limited or de Novo... 10-19 10.4 ARRESTS AND WARRANTS OF COMMITTAL... 10-20 (a) Warrants of Committal... 10-20 (b) Arrests... 10-20 (i) Accused Subject to a Conditional Discharge (Section 672.54(b))... 10-21 CON-8
TABLE OF CONTENTS (ii) Accused Subject to a Hospital Detention Order (Subsection 672.54(c))... 10-24 (iii) Hearing Before a Justice... 10-24 (c) An Offence for Failing to Comply with a Disposition Order... 10-25 10.5 Dual Status Offenders... 10-25 (a) Defined... 10-25 (b) The Most Recent Committal Takes Precedence... 10-26 (c) Placement Decisions... 10-28 (i) Standing... 10-29 (ii) The Timing of the Placement Decision... 10-29 (iii) Notice... 10-31 (iv) The Test for the Placement Decision... 10-31 (v) Time Requirements for the Decision... 10-33 (vi) Review of the Placement Decision... 10-33 (vii) Concurrent Supervision by the Review Board and the Correctional Authorities... 10-35 11 APPEALS... 11-1 11.1 THE RIGHT OF APPEAL... 11-1 (a) Appeals from Unfit to Stand Trial and NCR Verdicts... 11-1 (i) By the Accused... 11-1 (A) Rights of Appeal... 11-1 (B) Powers of the Court of Appeal... 11-2 (ii) By the Crown... 11-3 (A) Rights of Appeal... 11-3 (B) Powers of the Court of Appeal... 11-3 (iii) No Right of Appeal from Verdict that Accused is Fit... 11-4 (iv) Filing the Notice of Appeal... 11-4 (b) Appeals from Dispositions and Placement Decisions... 11-4 (i) Rights of Appeal... 11-4 (ii) Who Can Appeal... 11-5 (iii) What Can be Appealed... 11-5 (iv) Powers of the Court of Appeal... 11-6 (v) Deemed Abandonment of Appeals... 11-7 (vi) Filing the Notice of Appeal... 11-7 (c) Appeals from a Stay of Proceedings for a Permanently Unfit Accused... 11-8 11.2 SUSPENSION OF DISPOSITIONS... 11-8 (a) Absolute Discharges and Treatment Orders... 11-9 (b) Conditional Discharges, Hospital Detention Orders and Placement Decisions... 11-10.1 (i) Jurisprudence on Granting a Suspension... 11-11 11.3 APPEALS TO THE SUPREME COURT OF CANADA... 11-13 (a) Appeals from Unfit to Stand Trial and NCR Verdicts... 11-13 (b) Appeals from Dispositions... 11-13 11.4 COMMON ISSUES ON APPEALS FROM CONVICTION, NCR AND UNFIT VERDICTS... 11-14 CON-9 (Mental Disorder) (2013-3)
MENTAL DISORDER (a) Where Fitness was Raised at Trial... 11-14 (b) Raising Fitness for the First Time on Appeal... 11-16 (c) Where NCR was Raised at Trial... 11-18 (d) Raising NCR for the First Time on Appeal... 11-22 (e) Ancillary Powers... 11-24.2 11.5 COMMON ISSUES ON APPEALS FROM DISPOSITIONS... 11-24.4 (a) Errors Raised on Appeal... 11-25 (i) The Interpretation of Legislation... 11-25 (ii) Failure to Consider All the Factors... 11-26 (iii) Failure to Seek Out All Relevant Evidence... 11-27 (iv) Supervision of Treatment... 11-31 (v) Unreasonable Disposition... 11-35 (vi) Unsupported by the Evidence... 11-38.2 (vii) Appeals as Micro-Managing... 11-38.4 (viii) Hybrid Dispositions... 11-38.5 (ix) Appeals from Orders Not Effected... 11-38.9 (b) Mootness... 11-41 (c) Fresh Evidence... 11-46 12 TRAVEL, INTERPROVINCIAL TRANSFERS, AND EXTRATERRITORIAL MATTERS... 12-1 12.1 TRAVEL... 12-1 12.2 INTERPROVINCIAL TRANSFERS... 12-2 (a) Board Recommendation... 12-4 (b) Consent of the Attorneys General... 12-5 (c) Transfer Documents... 12-7 (d) Other Transfer Agreements... 12-8 12.3 EXTRATERRITORIAL TRANSFERS... 12-8 (a) The Consent Requirements... 12-8 (b) Recommendation of the Review Board... 12-9 (c) Consent of the Attorney General or Relevant Provincial Authority... 12-10 (d) Transfer into Canada... 12-10 (e) Transfer Out of Canada... 12-10 (f) The Jurisprudence... 12-10 APPENDIX A Criminal Code... A-1 Criminal Code, Part XX.1... A-2.5 Criminal Code, Part XXI... A-32.1 Criminal Code, Part XXII... A-32.7 Form 48 Assessment Order of the Court... A-33 Form 48.1 Assessment Order of the Review Board... A-35 Form 49 Warrant of Committal Disposition of Detention... A-37 Form 50 Warrant of Committal Placement Decision... A-39 Additional Forms used in Ontario Courts Warrant of Committal (Keep Fit Order) (s. 672.29)... A-41 CON-10
TABLE OF CONTENTS Disposition Hearing Outcome (s. 672.45)... A-43 Notice of Disposition Hearing (s. 672.5(5))... A-45 Treatment Order (s. 672.58)... A-47 Inquiry into Recommendation for Stay of Proceedings (Permanent Unfit (s. 672.851)... A-49 APPENDIX A1 Can. Reg 92-665 Notice of Application for Treatment Regulations... A1-1 APPENDIX A2 Youth Criminal Justice Act... A2-1 APPENDIX A3 Inquiries Act... A3-1 APPENDIX B International Transfer of Offenders Act... B-1 APPENDIX C Canadian Designated Psychiatric Hospitals... C-1 APPENDIX D Canadian Review Boards... D-1 APPENDIX E Rules of Procedure Ontario Review Board... E-1 APPENDIX F Procedural Guidelines at Hearings British Columbia Review Board... F-1 APPENDIX G Commission D examen des Troubles Mentaux (CETM) Guide Tribunal Administratif du Que bec... G-1 INDEX... I-1 CON-11 (Mental Disorder) (2013-3)