1 On 18 February 2003 the applicant, Mohammed Kerbatieh, who is now aged 35 years, pleaded not guilty to 22 of the 23 counts contained in a presentment which alleged that he committed various sexual offences against three school girls[1] (none of whom was known to him) between 24 September and 11 October 2001, namely, two counts of threatening to kill (counts 1 and 19), ten counts of rape (counts 2, 5, 6, 11, 13, 14, 16-18, 20), one count of attempted rape (count 3), two counts of common assault (counts 4 and 23), five counts of committing an indecent act with a child under 16 years of age (counts 7-9, 12 and 15), two counts of false imprisonment (counts 10 and 21) and one count of assault with intent to rape (count 22). The applicant pleaded guilty to count 23, which alleged common assault against the third complainant. After a trial lasting 20 hearing days, the applicant was convicted on 18 March 2003 of all counts to which he had pleaded not guilty other than counts 3, 5 16, 17, 18 and 20. He was acquitted on count 5 of rape but convicted of the statutory alternative of assault with intent to rape. He was acquitted of count 20 by direction. The jury could not agree on counts 16 and 18 and returned a verdict of not guilty on counts 3 and 17.
2 At the hearing of a plea in mitigation made on 24 March 2003, the applicant admitted one prior conviction (in June 1996) for causing grievous bodily harm and the Crown established two other prior convictions (committed in February 1990) for unlawful assault. His Honour also received into evidence the victim impact statements of the complainants and the report dated 11 June 2003 of psychologist, Warren Simmonds, who also gave evidence on the applicant's behalf. On 20 June 2003, his Honour sentenced the applicant to a total effective sentence of 22 years and 9 months' imprisonment and directed that he serve a minimum term of 18 years before being eligible for parole. The individual sentences, including the periods of cumulation ordered, are set out in Schedule 1 to these reasons. We will discuss his Honour's sentencing remarks more fully when we deal with the applicant's application for leave to appeal against sentence.
3 On 30 June 2003 the applicant filed notices of application for leave to appeal against conviction and sentence. On 30 May 2005 the Registrar granted the applicant leave to substitute new grounds in the conviction application. These grounds are set out in Schedule 2 to these reasons. During the hearing of the applications, Mr Carmichael for the applicant, properly, we think, did not press Ground 8. Plainly, there was no evidence before the jury on which they could have properly concluded that the applicant had an honest and reasonable belief that the first complainant was not under the age of 16 and counsel conceded that there was no error in his Honour's direction as is contended for in Ground 8(b). Before dealing with the remaining, somewhat lengthy grounds, it is necessary to set out briefly the circumstances of the offending.
Circumstances of offending
4 As we have noted, the offences were committed between 24 September 2001 and 11 October 2001, at which time the applicant was aged 31 years. In general terms, the applicant used essentially the same modus operandi in his conduct towards the three young complainants. He would approach each in the early hours of the morning, strike up a conversation which included discussions about drugs and befriend her. Once he gained her confidence, he took advantage of her youth and naivety to lure her to an isolated area, or a house, and there engage in the offending conduct.
5 More specifically, the applicant approached the first complainant ("C") when she was walking home with a girlfriend in Coburg in the early hours of 24 September 2001. He told the two girls that he was a drug dealer and offered to sell them drugs, which they refused. After further discussion, he persuaded C to walk with him to the nearby Moreland train station on the pretence that he was to drop off some drugs there. The pair were photographed by security cameras walking past the station shortly before 1.00 a.m. As they walked along, the applicant directed a number of enquiries to C relating to her personal life, her drug use and whether she was a virgin. The applicant kissed her on the mouth and told her he would make her his girlfriend. But she told him "No" and said that he was too old for her and that she had a boyfriend. At one stage the applicant told her that he was not a rapist and she would not get hurt whilst she was with him because he had a gun and would be able to protect her. Thereupon she became frightened by his conduct, but continued to walk with him because she feared what he may do if she did not comply with his wishes. After speaking on his mobile telephone, the applicant said that his meeting place was changed to a location near the former Coburg High School. He then directed her towards parklands near the former school and, when they got there, he effectively told her to sit on his jacket which he had placed on the ground. The Crown case was that soon after C sat down the applicant grabbed her neck, forced her backwards and told her that he was her worst nightmare. He said that he would kill her if she did not do what he wanted.[2] C said in her evidence that she was so frightened that she began to cry and involuntarily urinated. The applicant then took her mobile telephone and turned it off. She tried to yell, but he told her to "shut up", pulled her skivvy over her mouth and slapped her on the face. He physically prevented her from wriggling away.
6 The applicant then pulled up C's skirt and took off her underpants after she refused to do so. Because C was struggling, both items of clothing were ripped. C was wearing a sanitary napkin and this was removed at the same time as her underpants. The applicant then pulled down his jeans to his knees, sat on top of her and, notwithstanding her protestations, inserted one or more fingers into her vagina and moved them around.[3] The Crown alleged that after withdrawing his fingers from C's vagina, the applicant attempted to insert his penis into it. She said that she did not see his penis as she was keeping her eyes closed but said that she was still lying on her back when he attempted to do this. In her evidence, C initially said that she was unsure whether, at that stage, his penis penetrated her vagina and said later that she thought it did.[4]
7 At some stage during their struggle the applicant placed both hands around C's neck and applied such pressure that it restricted her breathing.[5] C also said that she was "not really sure" whether the applicant put his fingers in her vagina a second time. These circumstances formed the basis of count 5 - digital rape - of which the applicant was acquitted, but he was convicted of the alternative charge of assault with intention to rape. C said in her evidence that although she could not remember on how many occasions the applicant put his penis inside her vagina, it was at least on one occasion.[6]
8 The applicant's subsequent offending conduct, described below, formed the basis of counts 7, 8 and 9 - indecent acts with a child under the age of 16 years. The applicant knelt in front of C and instructed her to touch his testicles. After initially refusing, she complied and, as she did so, the applicant masturbated, forcing C to say: "I love you Sam. I want to have sex with you" and "I am a whore". He then told her to kiss him with her tongue and she complied out of fear. He instructed her to "go to doggy style" and, after moving around a bit, made her lie on her back again and put her leg over him. He masturbated again and whilst ejaculating required C to "look at me come".
9 The applicant then got dressed and left C in a very distressed state, threatening her if she reported the incident. She ran towards Sydney Road and eventually, with help from others, caught a taxi home. Shortly thereafter, C made a complaint against the applicant at the local police station. She was medically examined at the Royal Children's Hospital by a paediatrician, Dr Bronwyn Francis. Dr Francis said in her evidence that, on arrival, C was dishevelled and that even at that stage she was distressed, tearful, anxious and had a number of leaves in her hair and in her clothing. There appeared to be debris in her pubic hair. Dr Francis said that she also saw pink marks on C's neck that were consistent with recent application of force as if there was an attempt to strangle her. She said that there was no sign of bruising or damage to the external genitalia and that the hymen appeared to be intact. According to Dr Francis, this was not "uncommon". Dr Francis rejected the suggestion by the applicant's counsel, during cross-examination, that this made unlikely "the possibility of prior sexual contact".
10 Essentially, the applicant's case appeared to be[7] that he did not engage in the offending conduct as alleged by C. More particularly, he claimed that she had asked him for drugs and he told her that they would have to go to Coburg High School to obtain them. When they got there he tried to seduce her but she rejected his advances, and so he left. He asserted that no sexual or other impropriety occurred.
11 The second complainant ("S") was also aged 15 years at the time she was assaulted. On or about 27 September 2001, she was at a pool hall in Fawkner at approximately 1 a.m. After her friends had left, the applicant struck up a conversation with her saying that he was a drug dealer and asking her for help to complete a "deal". She said that she was not interested. She said in her evidence that during the conversation she told the applicant that she was 15 and did not use drugs. After a while, the applicant persuaded her to go outside and later asked her to accompany him to a nearby train station on the basis that he was to meet a girl there who was in trouble after arguing with her boyfriend. As they walked towards the station, the applicant told S that he was training in kickboxing, that he dealt in drugs (ecstasy and cocaine) and that he could get a driver's licence for under-age girls. After arriving at the station, they sat down and had a cigarette, but the expected girl did not turn up so they walked back towards the pool hall. En route, they walked through a hole in the fence to the back of a building and sat on a mattress that was lying there. The applicant asked S if he could kiss her but she refused. Later, he suggested to her that he would arrange for his brother to drive her home. He made a call on his mobile telephone and, not long thereafter, a car arrived with two young men in it. The applicant and S got in the car and were dropped off near the Drums Hotel, which was (unbeknown to her) near the applicant's home in Coburg. She was very cold and, although the applicant offered to walk her home, she refused. They then walked through the back streets of Coburg, S believing that they were walking towards her house. The applicant told her he would obtain a jacket and gloves for her from his friend's house. When they arrived there, C first waited outside but eventually went inside after the applicant told her that his friend would drive her home.
12 The applicant led S into a room with a bed in it at the back of the house and there made numerous telephone calls, supposedly to his friend, but apparently he could not make contact. He then swallowed what he said were two ecstasy tablets. She refused his offer of the drug and after some discussion they fell asleep. When S awoke, it was daylight and she nudged the applicant's shoulder to wake him and told him that she was leaving. The applicant appeared dishevelled and his mood had completely changed from that of the previous evening. He became aggressive and claimed that he did not know how S had come to be with him and accused her of stealing $20,000 of the $60,000 that he claimed he had stored in a suitcase. S became frightened and wanted to leave but the applicant told her to stay where she was until his friend arrived so that he could establish whether she had stolen his money. He left the room and returned with handcuffs. He slapped her across the face, handcuffed her hands behind her back and tied her feet together with black cotton strips.[8] S began to sob and the applicant again slapped her hard across the face, telling her to be quiet. She continued to cry throughout the applicant's attack on her but did so silently for fear of being hit again. The applicant next attempted to remove her belt. She tried to prevent it but the applicant slapped her on the face on two more occasions, once so strongly as to force her onto the bed. He untied her legs, removed the clothes from the lower part of her body and told her that he wanted her to feel ashamed. He then tied her legs again. He subsequently unlocked her handcuffs and removed her shirt, leaving her fully naked before placing the handcuffs back on her wrists. He then gagged her by forcing into her mouth a tie that had a cartoon character on it. He directed her to lay down on the bed and asked her whether she had ever "sucked a dick before". She indicated that she had not. He then told her that he wanted her to suck his penis. The applicant removed his tracksuit pants and underwear and told her that he found it difficult to obtain a full erection because he had used drugs. He then placed a towel around himself, removed her gag and left the room.
13 He returned with a knife and a carving fork (the fork being similar, but not identical, to the ones tendered in evidence). S was still lying on the bed. She said that the applicant then removed the towel, placed the knife to her neck and forced his erect penis into her mouth and told her to suck it. He warned her that if she tried to bite his penis he would cut her. S did as she was told for fear of what the applicant might otherwise do to her.[9]
14 The applicant then untied S's legs, forced them apart and inserted his tongue into her vagina and licked inside her vagina for approximately two minutes.[10] He next inserted the handle of the fork into her vagina for a few seconds before taking it out and then put it back again on two occasions.[11] The applicant then inserted his penis into S's vagina, telling her how tight it was. Whilst the applicant was moving backwards and forwards with his penis inside her vagina he forced her to say: "I want you to fuck me like a slut, fuck my tight vagina, oh, I love your big dick". The applicant told S that he was going to "come" inside her but said that she need not worry because he could not have children. The applicant also told her that he had ejaculated, although she was unsure whether he had.[12]
15 After some discussion, the applicant removed the handcuffs from the complainant's hands and told her to fondle his penis and testicles. He produced a bottle of Nivea cream and spread it on and around his genitals and told her to "play" with him. S rubbed his penis and testicles for between 10 and 15 minutes.[13] The applicant then told her that he wanted to "use her again". After a brief conversation he placed his penis inside her vagina and continuously moved backwards and forwards. Whilst he did so, S, at the applicant's direction and out of fear, repeated the words she had previously used. This offending conduct lasted approximately four minutes and continued notwithstanding that S pleaded with the applicant to stop.[14]
16 S said in her evidence that she was not sure whether the applicant then put his penis in her mouth again after the incident involving the Nivea cream, but she said later that he had hold of her hair and forced his penis into her mouth, moving it backwards and forwards.[15]
17 A little later the applicant told S that he wanted "to be with her" again. She told him that it was painful and the applicant said that they would try and if it was painful they would not proceed. The applicant then inserted his penis into her vagina for about four minutes but S kept complaining that it was painful so the applicant withdrew his penis.[16]
18 The applicant then told her that he did not know if he could trust her and wondered whether he should just kill her and said that if he did no one would ever find her body.[17] He then left the room and returned with a bowl of water and a towel and proceeded to clean her. They then got dressed and, at the applicant's insistence, walked out into the street. The applicant threatened her and warned her a number of times not to go to the police. He told her that he had just been released from gaol for killing three men. Eventually, a friend of the applicant picked them up in his car in Moreland Road and S was later dropped off near her home. When she arrived there no one was home so she went to her friends' house and told them that she had been raped and showed them the marks on her wrists. She later told other friends the same thing. She said that she was too frightened to complain to the police immediately, but later made two statements to the police, one on 26 November and the other on 18 December 2001.
19 The applicant in his record of interview and during the conduct of his defence claimed that S told him that she was 19 years of age and that the only relevant act that occurred between them was consensual sexual intercourse.
20 The third complainant ("E") was also a school student in October 2001. She was aged 16 and worked part-time in a shop called "Unleaded Jeans". At about 7.45a.m. on 11 October 2001 she was walking to a tram stop in Sydney Road to catch a tram to school. She was wearing her school uniform and carrying her school bag. The applicant approached her and struck up a conversation by asking her where Hawthorn Street was, which was the street in which S lived. During their conversation the applicant's mobile telephone rang and he appeared to have a conversation saying, "How am I meant to pick up $15,000 with my hands?" E told the applicant that he looked familiar. He then told her that he "boxed" with a man by the name of Pierre Kerran and that she might know him. She said that she knew Pierre Kerran through her brother. After she described her brother to the applicant, he told her, falsely, that he knew him. While they were talking, the applicant's mobile telephone rang again and, after that conversation, he told E that his sister could pick up the $15,000 for him, but if she helped him do so he would pay her $200. E declined the offer but said she would walk with him in order to direct him to his destination, as it was not far out of her way. She said that she agreed to walk with the applicant mainly because she trusted him because she thought he knew her brother. They walked together along a number of streets towards Bell Street, Coburg and then he directed her down a laneway to the back fence of a house. This house was the premises in which the offences alleged by S took place and, unbeknownst to E, was the house in which the applicant lived. He asked her to come inside with him, but she refused and stayed outside while he went in. Shortly after that, he returned with a stick and at that point E began to feel apprehensive. Suddenly, he grabbed her right arm and pulled her through the opening in the fence and then pushed and pulled her inside the house notwithstanding that she kept saying that she wanted to leave and go to school. In her evidence E said that the applicant's actions and the presence of the stick frightened her.[18]
21 The applicant eventually pulled E into the back part of the house and told her to wait in a room that had an unmade bed in it. When E attempted to leave the applicant placed one hand over her mouth and a struggle ensued. She was so frightened that she involuntarily urinated but eventually managed to free herself from the applicant and ran outside the house.[19] E then ran towards Bell Street in a distressed state, dropping her bag on the way. She complained to a woman in Bell Street that somebody tried to rape her and the woman escorted E to the local police station where she made a complaint. Not long thereafter she was medically examined in the course of which a number of recent injuries to her head, neck and upper limbs were identified that were consistent with her complaints.
22 The applicant asserted that E had let herself in through the unlocked front door of his house and asked him for money. He claimed that he then pushed her in the face and ejected her from his home, conceding that this act amounted to common assault, hence his plea of guilty to count 23.
23 As a result of E's complaints, the police executed a search warrant at the applicant's premises. They took a number of photographs of the inside of the premises and seized a number of items including a "Bugs Bunny" tie, a pair of "Unleaded" jeans, a bottle of Nivea cream and a bag of black cotton strips. These were items which matched the description of items said to have been used in the course of the assaults upon S. The police also seized a piece of damp carpet from the doorway of the applicant's bedroom. The carpet was subsequently forensically examined, but no urine was detected.[20] In his record of interview, and at his trial, the applicant essentially admitted that he had been with the complainants at the relevant times so that identity was not an issue at the hearing.
Appeal against conviction
24 There are eight grounds contained in the proposed Notice of Appeal that relate to conviction. In broad terms, the applicant's principal argument in support of his proposed conviction appeal was that he was denied a fair trial and, therefore, the impugned verdicts must be set aside. Essentially, Mr Carmichael on his behalf put forward two reasons why he claimed it was so. First, counsel said, his Honour's discretion miscarried because he refused to discharge the jury without verdict or adjourn the trial when, on the sixth day of the hearing, the applicant's counsel withdrew from the case in circumstances that we describe later. Secondly, it was claimed that his Honour failed to take the necessary steps to ensure that the remainder of the trial was conducted fairly to the then unrepresented applicant, more particularly, it was said that his Honour did not assist him, as he should have, in relation to a number of evidentiary and legal issues that arose during the trial, to which reference is made below. Many of these issues were also relied on as amounting to errors in the conduct of the trial. In order to give context to these complaints, it is necessary first to examine briefly the circumstances in which the applicant came to conduct his own trial and the progress of it.
Counsel's withdrawal from case
25 Different counsel represented that applicant at the committal proceeding and at the preliminary hearings in the County Court and at his trial. Each was briefed by Victoria Legal Aid ("VLA"). On the morning of the fifth day of the trial, 21 February 2003 (a Friday) and after the first complainant had been cross-examined, counsel told his Honour that the applicant wished to make a number of complaints to the court and that he would seek to do so later. The trial then proceeded and shortly before the luncheon adjournment the applicant told his Honour, in the absence of the jury, that he considered his lawyers - both counsel and VLA - were not following his instructions "as clearly as I wanted them to do". He then gave some examples of his complaint and essentially requested his Honour to direct counsel to conduct the case according to his wishes. Unsurprisingly, the learned trial judge told the applicant that he would not direct counsel how to conduct the case. His Honour explained that counsel was obliged to conduct the defence in a professional and proper manner and noted that there was "nothing from my observation to suggest that there is anything unprofessional or improper or inadequate about the way in which the case has been conducted on your behalf". Shortly after the luncheon adjournment, the applicant's counsel sought an adjournment of the trial until 25 February 2003 (a Tuesday) to enable him to obtain a ruling of the Ethics Committee of the Victorian Bar as to his obligations as counsel in relation to the trial. In the course of making that application, counsel made it clear that it was highly improbable that he would continue in the case and that the adjournment was really required to arrange for another counsel to be briefed and for him or her to become acquainted with the proceeding. In granting the application his Honour emphasised to the applicant that the trial would proceed on the adjourned date either with present counsel, new counsel or without counsel and that it was for him, the applicant, to determine which of these courses would be followed.
26 On 25 February 2003 (the sixth day of the hearing), a fourth barrister, who had been briefed by VLA, announced his appearance for the applicant. He told his Honour, however, that he was unable to obtain instructions from the applicant. The solicitor from VLA told the judge that if counsel could not obtain instructions from the applicant, VLA would not fund his representation at the trial. His Honour then told the applicant that if he did not give his new counsel sufficient instructions to enable him to represent him, counsel would have to withdraw and that the trial would proceed with the applicant unrepresented. His Honour explained that it was in his interests that he be represented and stood the matter down to give new counsel another opportunity to obtain instructions. After a short time, however, counsel told his Honour that he was still unable to secure instructions from the applicant and, accordingly, he proposed to withdraw from the proceeding. His Honour again told the applicant that it would be in his interests to be represented and that if he did not give instructions to his counsel the trial would continue with the applicant unrepresented. The applicant remained adamant that he did not wish to be represented by VLA or by counsel briefed by it, asserting, essentially, that VLA had lied to him and had a "preconceived opinion ... that a conviction was inevitable". He asked that "the trial either be aborted or stood down in order for me to make my concerns known and to seek a ruling from his Honour Judge Harbour Phillips the Chief Justice of the Victorian - and the Victorian Bar Association."
27 His Honour refused the application and, accordingly, the trial continued for a further ten days with the applicant unrepresented. During this period the applicant cross-examined Crown witnesses, including the second and third complainants but did not adduce any evidence or give any himself. In his helpful report to this Court, the learned trial judge said that the applicant cross-examined the witnesses sensibly but ineffectively and that his considered decision not to give evidence was "forensically correct". On 7 March 2003 (a Friday) the Crown delivered its closing address to the jury and the matter was adjourned to 11 March 2003 (a Tuesday) in order to enable the applicant to prepare his closing address, which he made on that day. The learned trial judge then charged the jury and, as noted previously, the jury returned their verdicts on 18 March 2003.
28 After the verdicts were taken, the applicant told his Honour that he wanted to proceed with the plea in mitigation, unrepresented. His Honour, however, adjourned the matter to 24 March 2003. On that day, as we have noted, the applicant admitted one prior conviction for causing grievous bodily harm and the prosecutor tendered certificates relating to the applicant's two convictions for unlawful assault and the three complainants' impact statements. The applicant then told his Honour that he wanted to be legally represented. The learned judge said that, in any event, he would seek a psychiatric report relating to the applicant pursuant to s.96 of the Sentencing Act 1991 and adjourned the matter to a date to be fixed. On 16 June 2003, his Honour proceeded to hear a plea in mitigation on behalf of the applicant who was then represented by a fifth member of counsel. As has been mentioned, his Honour had before him the report dated 11 June 2003 of Mr Simmons, a psychologist, who also gave evidence as to the applicant's circumstances, his history of drug use and prospects of rehabilitation. On 20 June 2003, his Honour imposed the sentences set out in Schedule 1 to these reasons. His Honour's sentencing considerations and the applicant's challenge to the sentence will be examined later, when we come to deal with his sentence application. We now turn to consider the applicant's submissions in support of the grounds relating to his conviction.
Ground 1
29 The applicant's principal case under cover of ground 1 can be conveniently divided into four groups: