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[2006] HCA 4
High Court of Australia
2005-12-09
Gleeson CJ, Heydon JJ
Original judgment source is linked above.
A J Glynn SC with J D Henry for the appellant (instructed by Robertson O'Gorman)
L J Clare with S G Bain for the respondent (instructed by Director of Public Prosecutions (Queensland))
Notice: This copy of the Court's Reasons for Judgment is subject to formal revision prior to publication in the Commonwealth Law Reports.
Criminal Law - Information, indictment or presentment - Joinder of counts - Criminal Code (Q), ss 567, 597A - Series of offences of same or similar character - Whether admission of evidence of each complainant in relation to all counts prejudicial to appellant such that separate trials should have been ordered.
Criminal Law - Evidence - Admissibility of similar fact evidence - Appellant charged with eight counts of sexual offences against six complainants -Whether evidence in relation to counts involving one complainant admissible in relation to counts involving other complainants - Whether similar fact evidence admissible on the issue of consent - Whether similar fact evidence admissible on issues other than consent - Application of principles for admissibility of similar fact evidence stated in Pfennig v The Queen (1995) 182 CLR 461 - Whether similar fact evidence has strong degree of probative force sufficient to outweigh prejudicial effect.
Criminal Law - Jury - Verdict - Unreasonable verdicts - Whether verdicts only explicable as the product of compromise between jurors - Whether intervention required to prevent injustice.
Criminal Law - Retrial - Appellant acquitted on one count of rape - Whether admission of closely related evidence at retrial on different counts would fail to give full effect to that acquittal.
"(1) Except as otherwise expressly provided, an indictment must charge 1 offence only and not 2 or more offences.
(2) Charges for more than 1 indictable offence may be joined in the same indictment against the same person if those charges are founded on the same facts or are, or form part of, a series of offences of the same or similar character or a series of offences committed in the prosecution of a single purpose."
The appellant contended that the offences of which each complainant gave evidence did not comprise "a series of offences of the same or similar character". The appellant also relied on s 597A of the Criminal Code which provided relevantly:
"(1) Where before a trial or at any time during a trial the court is of opinion that the accused person may be prejudiced or embarrassed in the person's defence by reason of the person's being charged with more than 1 offence in the same indictment or that for any other reason it is desirable to direct that the person should be tried separately for any 1 or more than 1 offence charged in an indictment the court may order a separate trial of any count or counts in the indictment.
(1AA) In considering potential prejudice, embarrassment or other reason for ordering separate trials under this provision in relation to alleged offences of a sexual nature, the court must not have regard to the possibility that similar fact evidence, the probative value of which outweighs its potentially prejudicial effect, may be the result of collusion or suggestion."
Section 597A(1AA) is congruent with a modification to the common law rules relating to similar fact evidence effected by the Evidence Act 1977 (Q), s 132A, which provided:
"In a criminal proceeding, similar fact evidence, the probative value of which outweighs its potentially prejudicial effect, must not be ruled inadmissible on the ground that it may be the result of collusion or suggestion, and the weight of that evidence is a question for the jury, if any."[2]
"(a) Is the propensity evidence of such calibre that there is no reasonable view of it other than as supporting an inference that the accused is guilty of the offence charged? …
(b) If the propensity evidence is admitted, is the evidence as a whole reasonably capable of excluding all innocent hypotheses? This would have to be answered on the assumption of the accuracy and truth of the evidence to be led. If the judge thought that the evidence as a whole was not reasonably capable of excluding the possibility that the accused is innocent, then the accused should not be exposed to the possible risk of mis-trial by a jury that might give undue prejudicial weight to propensity evidence. The exercise is to be undertaken with special care because of the potential danger of misuse of such evidence by the jury."
The trial judge treated R v O'Keefe as authoritative at all stages throughout the trial. The Court of Appeal said that it was a case to which it was necessary to have particular regard.
Counts 1 and 2: BS's complaint about events at the appellant's residence
Count 3: TK's complaint about events at her birthday party
Count 4: ML's complaint about a party at East Innisfail
Count 5: SW's complaint about events at a party at her sister's flat
Counts 6 and 7: MM's complaints about the appellant's behaviour at a vacant house on his parents' farm
"(a) All of the girls were aged in their early to mid teens.
(b) All of the incidents included penis/vagina intercourse.
(c) All of the girls were within the accused's extended circle of friends.
(d) In all cases each of the girls was readily able to identify the accused, and he must have known that.
(e) In all cases the accused did not immediately commence to treat the girls violently. He made sexual advances to each of the girls of such a nature that it left the way open for them to engage in sexual activity of their own free will. In the case of Count [5][11] the girl actually did consensually engage in some sexual activity. In every case there is a common thread indicating a preference for consensual sexual intercourse and then little or no hesitation in resorting to the use of force to achieve his ultimate desire when the girl resists."
"(f) In Counts 1, [5] and [6] the accused indicated a desire to have the complainant perform oral sex upon him. In fact in Count [5], the complainant did voluntarily perform oral sex upon the accused before she indicated her unwillingness to continue with the sexual activity.
(g) In Counts 1 to [5] inclusive, there were other people relatively close by to whom the accused's conduct could have been revealed had the girl chosen to be more vigorous and vocal in her resistance. This factor, in conjunction with (e) above, indicates some desire and hope on the part of the accused that the girls would consent to engaging in consensual sexual activity culminating in the intercourse.
(h) In Counts [3, 4 and 5] the incidents occurred in association with parties attended by both the accused and the complainant.
(i) In Counts 1, [4, 6 and 7] the accused was instrumental in engineering an opportunity to have the complainant alone with him. This is not to say that they demonstrate a conscious intention to rape prior to the girl offering resistance, but it does at least indicate a degree of premeditation in the accused's desire to have sexual intercourse with them.
(j) The five incidents occurred within the space of 16 months. There is of course significant temporal separation between each incident, so that they cannot be said to be temporally connected. However, they are sufficiently close in time to indicate an ongoing state of mind in the accused that if he gets the opportunity to have a sexual encounter with a girl and the girl displays an unwillingness to join in he is immediately prepared to continue the sexual encounter without the girl's consent.
(k) In spite of the similarities which I have mentioned above, some of the facts in relation to [Counts 6 and 7] are somewhat different from the earlier incidents. In relation to the complainant in that instance the accused behaved as a sympathetic friend which resulted in him taking her to the isolated unoccupied home at Cowley. He could just as easily have taken her to his parents' home as he did with the complainant in Count 1. Also in [Counts 6 and 7] he resorted to much more significant violence than in the earlier incidents by the use of a weapon to make threats to the complainant. These differences may be explained simply as an increase in the level of violence to which he was prepared to resort to achieve his aim."
"[T]he common feature which gives the evidence of the complainant in count [8] substantial probative value in respect of counts 1 to [7] (particularly counts 1, [2, 3 and 6]) and vice versa is that in all cases in spite of the ability of all complainants to be able to identify the accused and in spite of their resistance, the accused persisted in attempting to have intercourse against the complainant's will almost to the point of reckless disregard of the consequences. This feature, if believed, shows a particular attitude or propensity on the part of the accused."
He also said that the "absence of a striking similarity or signature is of little significance. The probative value of the evidence is its ability to show the improbability of similar lies by each of the complainants."[14]
"One could almost imagine that if each of these counts were tried separately, at the conclusion of the case defence counsel would be urging the jury to have doubts about the truthfulness of the complainant's evidence or its reliability because it would be highly unlikely that the accused, knowing that he was able to be identified, knowing that he was proceeding to sexual intercourse against the complainant's will, would do such a thing because of the potential consequences."
The basis on which the evidence was left to the jury
"[W]hat are the probabilities that all six girls have lied when they say they did not consent to [the appellant] dealing with them sexually[?]"
That formula was limited to lies on the issue of consent, for the trial judge said of the similar fact evidence:
"[Y]ou can only use it in judging the reliability of the girls when they say they did not consent to [the appellant] dealing with them sexually. You cannot use it to decide whether or not there was penetration; you cannot use it to decide whether or not [the appellant] knew any particular girl was not consenting, that is, whether he might or might not have made an honest mistake."
The fact that the jury were told to use the similar fact evidence on the issue of consent alone meant that it could not be used, in considering those counts where the appellant merely denied the complainant's evidence of the acts alleged (counts 3 and 6-8), on that issue. On those counts it could only be used if the jury rejected the appellant's denial of the acts alleged and had to turn to the question of consent.
"[Y]ou cannot say to yourself, 'Oh, well, they can't all be telling lies, therefore, they must all be telling the truth'; you cannot decide, for instance, that you believe one or two girls and then say, 'Well, we're satisfied he's raped on two occasions, therefore, he's more likely to have raped on the other occasions, therefore, we'll find him guilty of the lot'."
"Out of an abundance of caution I want to place on record some further explanation for my belief that there is no serious question about the admissibility of the evidence of all of the girls in one trial."
He said that while the evidence showed a "propensity in [the] accused person to commit … similar crime", this "propensity theory" was "not the basis for its admissibility and that is not the basis upon which [the] jury may use it". Rather the basis for admissibility was what he called "the probability theory". On that theory:
"[T]he strength of [the] probative value [of the evidence] lies in its ability to demonstrate the improbability of similar lies. That is, one girl might deliberately make up a lie that [the appellant] dealt with her sexually without her consent; two might possibly make up a lie to that effect; but the chances or the probability that all six have made up such a lie, in my view, becomes remote in the extreme in the absence of any real risk of concoction."
He then discussed some authorities, and criticised the "propensity theory" for its over-emphasis on a search for similarities. He said:
"The propensity theory can be, in a case like this, completely discredited by the approach of the accused.
If one were to imagine a case of four girls complaining of being raped by the same man all in a very similar fashion, perhaps all even in the same place, the propensity theorists would say, 'This evidence is clearly of great strength because of these similarities'."
(As the trial judge had noted while the appellant was being cross-examined, before the trial he had assumed that the commission of the acts alleged on each charge was in issue, but as the trial proceeded it became apparent that that was not so. That is, to use the trial judge's expression, the conduct of the defence by the appellant partly "discredited" the propensity theory.) He continued his explanation of the position at the end of the summing up thus:
"But if the accused were to say, 'Yes, I did have sex with all those girls. And I did have sex with all those girls in the same place. And all those similarities exist. But they consented, every time.' In my view there can be no propensity in a situation like that.
But the power - the power and strength of the value of those girls' evidence lies in the fact of the substantial improbability that all of those girls would willingly, and perhaps eagerly, take part in an act of sexual intercourse and then complain that it was rape."
On the approach that the trial judge adopted, it did not matter that there were no striking similarities between the accounts of the complainants, as the trial judge pointed out several times in argument with counsel.
"It seems to me whilst perhaps their evidence might be relevant to the credibility of [BS], it can't really be looked at as evidence which would be admissible, for instance, on the trial of the accused in relation to [TK]."
These remarks reveal that the trial judge had begun his process of narrowing the basis of admissibility early in the trial. The evidence of BM and SS would be relevant on a "propensity theory", but not on the trial judge's "probability theory".
"[T]he learned trial judge correctly assessed the situation when he observed that on separate trials the defence would ask the jury to conclude that the complainant girl was telling a highly improbable story in saying she did not consent."
However, the Court of Appeal, unlike the trial judge, thought that the similarities in the complainants' accounts were significant beyond the issue of their lack of consent.
Inadmissibility of the similar fact evidence on the issue of consent
Inadmissibility of similar fact evidence on issues other than consent
"The present cluster of relevant similarities between each complainant's version becomes compelling not through any unusual hallmark but because, out of all of the infinite variety of allegations and descriptions that could be invented, this combination of features of a particular type of sexual assault is repeated by so many different women from within a defined group, but independent of each other."
These features were described as a common "pattern" or "thread", and as a "combined pattern and flavour".
"[S]triking similarity, underlying unity and other like descriptions of similar facts are not essential to the admission of such evidence, though usually the evidence will lack the requisite probative force if the evidence does not possess such characteristics."
"[T]he evidence of propensity needs to have a specific connexion with the commission of the offence charged, a connexion which may arise from the evidence giving significant cogency to the prosecution case or some aspect or aspects of it."
"4. Where, in proceedings before the Court below, a party was identified by the use of initials or a pseudonym or the publication or disclosure of the name of a party was prohibited by operation of a statute or order of a Court, that party shall file an application in this Court using the initials or pseudonym of the party. The use of initials or a pseudonym will continue in proceedings in this Court unless a contrary order is made by the Court or a Justice."
This was not complied with and no contrary order has been made.
"(2) The ways that a child may be dealt with under this Act include -
(d) being cautioned, prosecuted or sentenced for an offence."
The first complaint to the police was that of MM, made on 19 November 2001. The offences of which she complained took place on the night of 18-19 November 2001. The appellant was then 17, having been born on 28 July 1984. The other complainants did not have dealings with the police until after that date. The police had no dealings with the appellant until after MM's complaint.
(b) the convictions in respect of counts 2, 4, 5, 6, 7 and 8 of the indictment are quashed; and
(c) there be retrials, conducted separately, on each of the following counts:
(iv) count 6 for unlawful carnal knowledge and count 7 for rape;
The relevant counsel for the prosecution did not appear in the Court of Appeal or in this Court. The relevant leading counsel for the accused appeared in the Court of Appeal, but not in this Court. ↑
[2000] 1 Qd R 564 at 573-574 (Pincus and Davies JJA agreeing). ↑
Martin v Osborne (1936) 55 CLR 367 at 375 per Dixon J; R v Boardman [1975] AC 421 at 451 per Lord Hailsham of St Marylebone LC; Hoffmann, "Similar Facts After Boardman", (1975) 91 Law Quarterly Review 193 at 206. ↑
For example, in Hoch v The Queen (1988) 165 CLR 292 at 294 Mason CJ, Wilson and Gaudron JJ said: "Assuming similar fact evidence to be relevant to some issue in the trial, the criterion of its admissibility is the strength of its probative force." ↑
Hoch v The Queen (1988) 165 CLR 292 at 301 per Brennan and Dawson JJ. For the issues in this class of case see generally Director of Public Prosecutions (NT) v WJI (2004) 219 CLR 43. ↑
At the time of the trial judge's first ruling count 2 had not been separately charged, nor had count 7. The numbering employed by the trial judge has been adjusted in the light of that circumstance, and the count numbers referred to are those which the counts considered by the jury bore. ↑
See Pfennig v The Queen (1995) 182 CLR 461 at 482 per Mason CJ, Deane and Dawson JJ. ↑
Goldsmith v Sandilands (2002) 76 ALJR 1024 at 1025 [2] per Gleeson CJ; 190 ALR 370 at 371. See also Smith v The Queen (2001) 206 CLR 650 at 653-654 [6] per Gleeson CJ, Gaudron, Gummow and Hayne JJ. ↑
(1995) 182 CLR 461 at 484 per Mason CJ, Deane and Dawson JJ. ↑
R v Boardman [1975] AC 421 at 444 per Lord Wilberforce, approved in Markby v The Queen (1978) 140 CLR 108 at 117 per Gibbs ACJ, Stephen, Jacobs and Aickin JJ concurring; Perry v The Queen (1982) 150 CLR 580 at 586, 589 per Gibbs CJ; Sutton v The Queen (1984) 152 CLR 528 at 533 per Gibbs CJ; Pfennig v The Queen (1995) 182 CLR 461 at 481 per Mason CJ, Deane and Dawson JJ. ↑
R v Boardman [1975] AC 421 at 439 per Lord Morris of Borth-y-Gest, approved in Markby v The Queen (1978) 140 CLR 108 at 117 per Gibbs ACJ, Stephen, Jacobs and Aickin JJ concurring. ↑
Perry v The Queen (1982) 150 CLR 580 at 609 per Brennan J; Sutton v The Queen (1984) 152 CLR 528 at 548-549 per Brennan J, 560 per Deane J, 565 per Dawson J; Harriman v The Queen (1989) 167 CLR 590 at 633 per McHugh J; Pfennig v The Queen (1995) 182 CLR 461 at 481 per Mason CJ, Deane and Dawson JJ. ↑
Sutton v The Queen (1984) 152 CLR 528 at 534 per Gibbs CJ. ↑
Hoch v The Queen (1988) 165 CLR 292 at 294-295 per Mason CJ, Wilson and Gaudron JJ. ↑
Hoch v The Queen (1988) 165 CLR 292 at 301 per Brennan and Dawson JJ, approving words of Lord Hailsham of St Marylebone LC in R v Kilbourne [1973] AC 729 at 749. ↑
Director of Public Prosecutions v P [1991] 2 AC 447 at 460 per Lord Mackay of Clashfern LC. ↑
Pfennig v The Queen (1995) 182 CLR 461 at 483 per Mason CJ, Deane and Dawson JJ. ↑
(1995) 182 CLR 461 at 485 per Mason CJ, Deane and Dawson JJ. ↑
(1995) 182 CLR 461 at 485, where Mason CJ, Deane and Dawson JJ said that "the trial judge … must recognize that propensity evidence is circumstantial evidence and that, as such, it should not be used to draw an inference adverse to the accused unless it is the only reasonable inference in the circumstances. More than that, the evidence ought not to be admitted if the trial judge concludes that, viewed in the context of the prosecution case, there is a reasonable view of it which is consistent with innocence." (Footnote omitted) ↑
cf the remarks of the Supreme Court of Canada in R v Handy [2002] 2 SCR 908 at 945-946. ↑
MacKenzie v The Queen (1996) 190 CLR 348 at 368. ↑
MacKenzie v The Queen (1996) 190 CLR 348 at 367-368 per Gaudron, Gummow and Kirby JJ. ↑
MacKenzie v The Queen (1996) 190 CLR 348 at 368 per Gaudron, Gummow and Kirby JJ. ↑
MacKenzie v The Queen (1996) 190 CLR 348 at 368 per Gaudron, Gummow and Kirby JJ. ↑
R v Storey (1978) 140 CLR 364 at 397 per Mason J. ↑
Phillips
The Queen
[2004] QCA 347
(1995) 182 CLR 461
(1988) 165 CLR 292
(1986) 61 ALJR 1
(1936) 55 CLR 367
(2004) 219 CLR 43
(2002) 76 ALJR 1024
(2001) 206 CLR 650
(1978) 140 CLR 108
(1982) 150 CLR 580
(1984) 152 CLR 528
(1989) 167 CLR 590
(1998) 194 CLR 395
(1990) 169 CLR 245
(1963) 110 CLR 234
(1996) 190 CLR 348
(1978) 140 CLR 364