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[1999] VSCA 150
Court of Appeal (Vic)
1999-09-23
PHILLIPS, C.J., ORMISTON and CALLAWAY, JJ.A.
Original judgment source is linked above.
CRIMINAL LAW - Sexual penetration of child between 10 and 16 years - Circumstances giving rise to need for "Longman" warning - Delay and badgering of daughter by father in order to extract allegation - Whether warning sufficient - Whether directions amounted only to comments - Effect of failure to take point at trial and in oral argument on appeal - Absence of motive to lie - Whether questions amounted to impermissible suggestion - Whether verdict unsafe or unsatisfactory - s.61 Crimes Act 1958.
"Can you recall the substance of that conversation, can you recall anything that Mr Mazzolini said?"
"He asked me as to whether I told my parents about what he did to me in the back room at, in Waugh Street in Charlton. He said to me that did he realise that in the back room when he was staying there that he was masturbating - - -"
She later added that she had informed the applicant that she had not told her parents about that matter.
(2) that the Longman direction given by the learned trial judge was inadequate "in that it failed to properly give the jury a judicial warning as to all the relevant matters which gave rise to the need for a Longman direction"; and
(3) that the cross-examination of the applicant which is recorded at p.139 of the transcript was "contrary to the decision of the High Court in Palmer v. The Queen [1998] HCA 2; (1998) 193 C.L.R. 1 at 9".
The ground relying on the cross-examination was new inasmuch as it had not been raised at either the trial or previously in the course of this application, but ground 2 was conceded to be necessary because, although the matter was relied upon originally as a basis for suggesting that the verdict was unsafe or unsatisfactory, it was conceded that an acceptance of the point so raised would ordinarily only give rise to an order for a new trial and thus was inappropriate for consideration under the original general ground.
"... the complainant ... was a witness who was obviously embarrassed by her activities with the appellant being brought into the public arena, but who gave her evidence in a manner which left it open to the jury to be satisfied that she was a witness of truth and reliability. However, if and insofar as it has any relevance, because of the enormous pressure on her by her father which is discussed in the charge and the sentencing remarks, I would not have been prepared to act on her evidence to convict the accused."
The allegation of "indecent assault" (sic) made against the applicant did not surface until -
(a) nearly three years after it was alleged to have occurred;
(b) after the applicant and the complainant had had a sexual relationship over some months (December 1995 to May 1996);
(c) after the complainant's father had found out about the sexual relationship and had effectively ended it;
(d) after the applicant had initiated an investigation into allegations of stalking against the complainant's father, of which both the complainant and her father were aware;
(e) after extensive, regular and gruelling questioning of the complainant by her father from May until a date in August 1996 and that questioning had never elicited any such suggestion.
It was also said in support of what was claimed to be a "very unusual case" that the complainant at that time had not completed any statement to the police and did not do so until January 1997. Finally it was argued that there was no independent evidence corroborating that of the complainant. The alleged failure to give a warning in conformity with the requirements of Longman will be dealt with later, but, as it was originally argued, the failure to treat each of the matters described above as matters requiring a Longman warning was said in itself to make the verdict unsafe or unsatisfactory. Originally it was the failure to give a Longman warning in relation to the circumstances in which the allegation first arose (items (c) to (e)) which was relied upon. Later, although it seemed to have been conceded that a warning of the required kind had been given as to delay, all five items were relied upon, on the basis that, as a whole, no proper warning had been given. Of course a failure to give such a direction may require the Court to direct a new trial but it does not inevitably follow, as was recognised by counsel for the applicant, that a verdict of acquittal should necessarily be entered if the ground were made out, as would ordinarily follow any decision that a verdict was unsafe or unsatisfactory.
(ii) Whether Longman directions required and given by trial judge
(b) The need for and form of Longman-type directions
"The jury should have been told that, as the evidence of the complainant could not be adequately tested after the passage of more than twenty years, it would be dangerous to convict on that evidence alone unless the jury, scrutinising the evidence with great care, considering the circumstances relevant to its evaluation and paying heed to the warning, were satisfied of its truth and accuracy."
"It would not have been surprising if these circumstances had elicited some comment from the trial judge, for it would have been proper to remind the jury of considerations relevant to the evaluation of the evidence." (Emphasis added.)
"Of course, any comment must be fairly balanced. For example, any comment on the complainant's failure to complain should include (as indeed s.36BD requires) that there may be 'good reasons why a victim of an offence such as that alleged may hesitate in making or may refrain from making a complaint of that offence'." (Emphasis added.)
"But there is one factor which may not have been apparent to the jury and which therefore required not merely a comment but a warning to be given to them ... That factor was the applicant's loss of those means of testing the complainant's allegations which would have been open to him had there been no delay in prosecution." (Emphasis added.)
It was that contrast between "comment" and "warning" which led to the statement which I have quoted in the last paragraph as to the nature of the warning which should be given where there is extensive delay affecting the conduct of the accused's case.
"You may take [the complainant's] delay in complaining into account in deciding whether to accept [his or her] evidence, but you should also remember that there may be good reasons why a victim of a sexual assault may delay or hesitate in complaining about it."
Such a "balancing statement" may doubtless be seen to be sufficient, inasmuch as a failure to make prompt complaint is said to throw doubt on the credibility of the complainant's own evidence.
"The circumstances that might have been the subject of comment were such as the jury could evaluate for themselves but the factor requiring a warning was one the full significance of which might not have been apparent to laymen unfamiliar with the way in which a criminal trial is prepared and conducted."
At p.605 the Court referred to the need for directions in particular to classes of case, for example, where the evidence of an accomplice is adduced, but as to the other categories, as yet undefined, it said (at 605):
"But such rules should not be unduly expanded. A trial judge should retain the flexibility to deal with the almost infinite range of factors that affect criminal trials. Though there is no specific rule, the principle is that the judge should give any direction that is necessary and practical, in the circumstances of the case, to avoid a perceptible risk of miscarriage of justice."
The Court continued by referring to a number of aspects of that principle:
"First, we emphasise the words 'necessary and practical' and 'perceptible'. A perceptible risk is one that is real or of substance, as opposed to a risk that is insignificant or theoretical. Secondly, we are speaking of directions that require the authority of the judge's office. The factors calling for the warning must be of such a character that it is unsafe to leave the jury to rely on the arguments of counsel."
Finally, at p.606, the Court drew a distinction "between circumstances that it is well within the ability of the jury to assess for themselves and factors the full significance of which may be more apparent to the judge", referring to Bromley v. The Queen [1986] HCA 49; (1986) 161 C.L.R. 315 at 324-5 and Carr v. The Queen [1988] HCA 47; (1988) 165 C.L.R. 314 at 330: (although cf. McKinney v. The Queen [1991] HCA 6; (1991) 171 C.L.R. 468). It continued (at 606):
"Appellate intervention is more likely to be warranted in the latter case than in the former. Where a concatenation of circumstances is within the capacity of a jury to evaluate, in the light of their own experience and with the benefit of counsel's addresses, it is only in exceptional cases that a warning is required. More often it is simply a matter for the judge to decide whether or not it is appropriate to make a comment for the assistance of the jury."
That would appear to be the basis upon which a trial judge may ordinarily test the need for a full Longman warning.
"It is important to apply that logic with great care because the only two witnesses who can give direct evidence of the matter are the accused and the complainant."
It was immediately following that sentence that he made the observation so greatly criticised, as follows:
"As a matter of logic, fairness and commonsense, if you like, it is obvious where you have a situation of oath against oath, it can be dangerous to convict without the presence of some other evidence that supports or confirms the accuser's evidence. That is evidence independent of [the complainant] who is making the complaint, that supports her evidence - not only that the crime was committed but the accused committed the crime."
Having then referred to two "reasons for caution" as being a risk that a complainant may be motivated by some hidden reason and that that person may be a more convincing witness though giving a false account, he quickly returned to the general theme in these terms:
"Therefore, it is commonsense that because of the potential for error there is a great necessity for the jury trying such a case, where the evidence depends upon an unsupported or non-confirmed version of the complainant's evidence, to subject the complainant's evidence to close and thorough scrutiny before being prepared to act on it. But if, after giving the complainant's evidence close and thorough examination, you are satisfied as to its truth and accuracy, then of course you may act on it and convict but only after that examination and when you are satisfied beyond reasonable doubt of the guilt of the accused."
Then his Honour described the nature of supporting or confirming evidence in what are now conventional terms, referring to "the nature of the evidence required". He concluded this aspect of the charge by saying that there was no independent evidence supporting or confirming the complainant's version and so "in the absence of such supporting and confirming evidence you should subject her evidence to close and thorough examination and scrutiny and, if, after having done so, you are satisfied of its truth you may then act upon it."
"What you the jury have to take into account is [that] common human experience, [and] it is also common human experience that over a period of time a person can convince themselves that some event did occur."
He also said that sometimes people honestly and accurately recall events with sufficient clarity for the jury to believe what they have said, "after the jury have given that evidence careful scrutiny". These observations to my way of thinking do not indicate that all that he was saying was mere comment; rather, after making comments of a kind which because of their generality the jury would have to assess for themselves, he had then told the jury that they had to take into account those various possibilities. Now this was not part of what is known as the conventional Longman warning, but nevertheless it was part of something more than a comment and thus more a direction as to what the jury should do as part of their process of reasoning in dealing with what they might fairly conclude to be the consequences of delay.
"You have to take into account that the complainant is now nineteen years, more than four years older than at the time of the alleged offence."
Again it seems that his Honour was seeking to direct the jury by using mandatory terms as to how they should approach the fact-finding process, not merely to comment on the evidence. He then added what may seem to be a comment, albeit favourable to the applicant:
"One cannot ignore the common human experience that with the passage of time, not only does our memory tend to fade but our emotions, imagination, suggestion and pride may alter the way we recall things."
He observed that this may not result from deliberate invention or falsehood but merely faulty recollection or people convincing themselves that something occurred in a particular way. As to that he reiterated:
"You cannot ignore the effect of human imagination, emotion, prejudice or suggestion on how past events are remembered after many years." (Emphasis added.)
I would view the observation in this form as a direction by the judge, for it was now expressed in mandatory terms, albeit that the end result would flow from an assessment of the evidence by the jury. The judge turned to the risks that a nineteen year old might have had emotions or an imagination which could have altered or misinterpreted the events inasmuch as there was no earlier statement with which her present recollection might be compared. Of these matters he said:
"You must have regard to whether the age of the complainant at the time would of itself be productive of some misunderstanding of the events."
Again, having regard to the fact that these matters were raised by the judge in the course of describing the way the jury should approach the evidence, I would regard his statement as mandatory, albeit that it amounted to no more than a requirement that certain matters had to be taken into account.
"As a matter of law, if what is called a fresh complaint is made in a sexual case ... evidence of that complaint is admissible as an exception to the rules excluding self-serving and hearsay evidence."
I do not consider his Honour's description of this legal proposition in those terms as requiring it to be contrasted with what had been said immediately before. He did not refer to it explicitly by use of words of contrast, and I would see it merely as the opening of a new subject which was largely controlled by principles of the law of evidence. If it could have been perceived in terms of contrast, then that would be the very matter which I would have expected experienced counsel to have noticed and raised. His Honour then proceeded to describe what is in effect a somewhat technical area of the law of evidence by saying that such fresh complaints are received only to see whether there is consistency of conduct on the part of the victim. He said that absence of complaint may be considered by a jury "to be so unusual in the circumstances as to throw doubt on the victim's credibility". After some further general comment he stated: "Of course, I warn you that to delay in complaining does not necessarily indicate that the allegations made are false", saying that there may be good reasons why the victim might hesitate in making complaint. He used the expression "warned" although the section now requires a judge merely so to "inform" the jury, but the contrast is for practical purposes of little consequence. The observation must be seen as the judge's attempt to comply with the statutory requirement. After saying that these were matters which "you will doubtlessly have regard to in assessing the credibility" of the complainant, he analysed the circumstances in the present case which led to the making of the complaint stating that the complainant had made no complaint immediately or shortly after the alleged offence. After analysing those events in terms highly favourable to the applicant, inasmuch as he said that no explanation had been given by her as to her delay in making complaint, he observed:
"In the circumstances, the complaint to her father in August of 1996 cannot be considered to be a complaint made at the first reasonable opportunity."
That can only be seen as direction on that particular issue. Then, after telling the jury that they "will examine the circumstances" as they found them to be, he concluded this aspect of his charge by saying:
"So the absence of complaint immediately or shortly after the alleged occurrence of the charged events is another reason why [you] should subject the evidence of [the complainant] to close and thorough scrutiny before being prepared to act on it to convict the accused."
Of course, no argument has been put to this Court that the judge failed fairly to deal with this aspect of delay in making complaint, but the significance is that the judge is treating each of these matters as a basis for his directions to the jury that they should give "close and thorough scrutiny" to the evidence before acting upon it so as to convict. It was, in his terms, "another reason", doubtless referring back to the absence of independent evidence and the consequences generally of delay on the preparation of the case and its effect on the complainant's ability to recollect the events.
"Furthermore, the circumstances in which the complaint is first made need to be examined by you." (Emphases added.)
I would take that, and I believe the jury would have taken it, as directing them that those circumstances would have to be examined in the same way as the earlier three factors by giving them the same close and thorough scrutiny. For that purpose the judge then raised a number of facts relating to the parties' relationships and the influence on the complainant of her father. He referred to the father's discovery of the love letters and his continuing questioning four or five days a week as to precisely what the applicant did to the complainant. These matters then led to what is further relied upon as an indication that the observations over these ten pages or so were mere comments, for the judge said:
"This is a comment of mine which you can reject but what I say to you, you may have no difficulty on the evidence concluding that, from the time that the complainant's father ... found out in August [sic] of 1996 about the sexual relationship that the complainant was having with the accused, he adopted an overbearing, badgering attitude towards his daughter, which you may think would have broken any sixteen year old girl."
He continued by asking what did they consider a fair conclusion on the evidence as to the effect of that conduct. Apart from the favourable terms in which it was expressed, I would see the point of the judge's describing that as a comment was that the significance of the father's behaviour, inasmuch as it was necessary for this reason to scrutinise the evidence carefully, had to depend upon whether the jury accepted the premise for such an approach, namely that the father did in fact badger and harass his daughter in order to obtain some such allegation. I may be wrong in this assessment but, if counsel saw these references to "comments" in the same light, than it is not surprising that no exception was taken.
"You will of course take this evidence into account when evaluating the complainant's evidence."
"You will have to evaluate the worth of this complaint which emerged, after, you may think, the complainant was subjected to extreme and relentless pressure from her father. Whether you agree with that comment is a matter for you. I am putting it to you, it is a matter for you to evaluate this evidence. [W]hat I am saying to you, the circumstances in which this complaint of digital penetration first appeared, should be carefully and thoroughly examined to determine what weight you are prepared to give to it and to the allegation. Are you satisfied beyond reasonable doubt that the accused is guilty of the charge laid?"
Again, the significance of what is said, in this otherwise highly favourable part of the charge would be affected by the significance of the word "comment". In my opinion it is merely another example of the judge raising the question of fact as to the kind of pressure in fact imposed which formed the premise for the subsequent warning. If the jury did not consider that there was "the extreme and relentless pressure", then the need for the warning on this issue would evaporate and there was undoubtedly evidence on both sides. It is clear, however, that the judge is again raising circumstances in which the complaint was made and directing the jury that they should carefully and thoroughly examine it to determine what weight they should give to her allegations. It may not have been couched precisely in terms of a warning, but in the context of the present charge and having regard to the matters to which attention had already been drawn, the jury would surely not have seen it otherwise than as a requirement and direction that they should not convict unless they had thoroughly and carefully examined the whole of the relevant evidence if the complainant had been subjected to such pressure. Even if it amounted to no more than comment on this question, in my opinion the comment was in such firm terms as would satisfy the intent of the judgment in Longman and of the subsequent authorities.
(e) Conclusions as to ground relating to Longman directions
"The question which arose ... was whether a warning was required that it was unsafe to convict on the uncorroborated evidence of the complainant, not by reason of her being an alleged victim of a sexual offence, but by reason of the whole of the circumstances of the case."
As I would see it, unless there be special circumstances, it does not follow that a long delay in making complaint necessarily will lead to the need for a Longman warning if the Crown case (of whatever kind) is supported by a number of witnesses or is also a circumstantial case, inasmuch as the problems there may not be of the same order as where a stale case rests upon the evidence of a single witness.
(iii) Whether prosecution wrongly raised complainant's absence of motive to lie
"Q: Up until the time you last spoke to her on the phone, you had, putting aside any sexual questions, you had given her no reason to be malicious towards you or nasty towards you? --- Not that I know of, no. Q: You didn't abuse her verbally or anything like that or do anything to her of a nasty kind, did you? --- Not that I know of, no. Q: You had not, in any way, as far as you knew made an enemy of her, is that correct? --- Not that I know of."
It was said that these questions were, on a proper characterisation of their effect and nature, questions which in truth asked the applicant whether he knew of any motive on the part of the complainant to lie. I cannot accept that that is so. They are specific questions in the sense that they go to aspects of the parties' relationship which was seen to be relevant to the complainant's change of heart inasmuch as she sought later to make the relevant complaints against the applicant. They were not designed to support submissions to the effect that the complainant had no motive to lie. Indeed, a transcript of the final addresses has now been provided to the Court with the concurrence of both parties from which it is clear that no such submission was made, although not surprisingly counsel for the Crown spent almost the whole of his address dealing with the credibility of the complainant.
"The word 'comment' is sometimes used to include a binding direction. See for example, s.61(2) of the Crimes Act 1958, as interpreted by this court in R. v. Miletic. More often, however, a distinction is drawn between a comment by the judge, which the jury are free to reject, and a direction, by which they are bound. Such a direction includes a Longman warning, which was necessary in this case because of the delay between the commission of the alleged offences and their being brought to the attention of the authorities. The position was the converse of that which obtained in R. v. King. The question raised by ground 14 is whether it would have been apparent to the jury that they were being given a direction rather than merely the benefit of a judicial comment.
Before turning to that question, I wish to say something of the significance of the distinction, prefacing my remarks with a passage from the joint judgment in R. v. Miletic: [The passage at 605 line 14 to 606 line 13 was then set out.]
As that passage indicates, the distinction between a comment and a direction stems from the respective roles of the judge and the jury. If there is an aspect of a case that is well within the ability of the jury to assess for themselves, the judge would invade their province and usurp their responsibilities by giving a direction instead of making a comment. (That is not to deny that there may be cases where a comment is necessary in the interests of justice but must then be left with the jury to accept or reject.) The judge is entitled to direct the jury, with the authority of his or her office, only where there is an aspect of the case on which the law has something special to say, as for example where the courts have had long experience in the evaluation of particular kinds of evidence. " (Footnotes omitted.)
See also Jones v. R. (1997) 191 C.L.R. 439 at 445 per Brennan, C.J.
"Again, the law permits me to make comments on the evidence and on the facts of this case. Let me make it plain to you that if I make comments then they are only my comments. They stand on the same plane as comments made to you by counsel whether it be counsel for the prosecution or counsel for the defence. If you find any such comments helpful then you may use them because they appeal to you and you see fit to adopt them as your own. If you do not agree with them, if you do not find them of assistance then you should disregard them. They stand in an entirely different position to what I say to you about the law. What I say to [you] about the law is binding on you. But what I say about the facts or the evidence is not." (Emphasis added.)
"It is important to apply that logic with great care because the only two witnesses who can give direct evidence of the matter are the accused and the complainant. As a matter of logic, fairness and commonsense, if you like, it is obvious where you have a situation of oath against oath, it can be dangerous to convict without the presence of some other evidence that supports or confirms the accuser's evidence. That is evidence independent of [the complainant] who is making the complaint, that supports her evidence - not only that the crime was committed but the accused committed the crime.
Therefore, it is commonsense that because of the potential for error there is a great necessity for the jury trying such a case, where the evidence depends upon an unsupported or non-confirmed version of the complainant's evidence, to subject the complainant's evidence to close and thorough scrutiny before being prepared to act on it. But if, after giving the complainant's evidence close and thorough examination, you are satisfied as to its truth and accuracy, then of course you may act on it and convict but only after that examination and when you are satisfied beyond reasonable doubt of the guilt of the accused." (Emphasis added.)
There is nothing wrong with referring to logic, fairness or commonsense, so long as it is the law, or a binding direction, that is explained or justified in that way: see [66] above. But here the reference to commonsense implied that the "great necessity" to subject the complainant's evidence to close and thorough scrutiny before acting on it was only a matter of commonsense.
"It is only [the complainant] who has given evidence of the subject of this charge and of the other sexual activity. So in the absence of such supporting and confirming evidence you should subject her evidence to close and thorough examination and scrutiny and if, after having done so, you are satisfied of its truth you may then act upon it.
There has been a delay between the time of the occurrence of the alleged offence and the complainant first mentioning it. On her evidence the alleged offence is said to have occurred towards the end of 1993. She first mentions it in August of 1996, nearly three years later and this was to her father. A number of comments ought to be made about this delay: ..." (Emphasis added.)
(a) the verdict should not be set aside on the ground that it was unreasonable or could not be supported having regard to the evidence; and
(b) the judgment should not be set aside on the ground of a wrong decision of any question of law,
there was a miscarriage of justice within the meaning of the third limb of s.568(1) of the Crimes Act 1958.
R
Mazzolini [1999] VSCA 150