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[1999] VSCA 184
Court of Appeal (Vic)
1999-11-19
WINNEKE, P., CHARLES and CHERNOV, JJ.A.
Original judgment source is linked above.
"5. The learned trial judge erred by directing the jury that statements made by her concerning the potential for error in the case were only judicial comments."
Upon the hearing of the appeal counsel sought leave to add two additional grounds which contended that:
(a) the trial judge was in error in telling the jury that she was satisfied that the complainant understood the significance of telling the truth;
(b) the trial judge erred in failing to direct the jury that, in assessing the complainant's credibility, they were entitled to take account of the fact that she had delayed in making a complaint about the applicant's conduct.
Mr. McArdle, who appeared for the Crown on this application, objected to the late addition of these grounds and the Court, whilst allowing Mr. Tehan to present argument in respect of them, reserved its decision on the question of whether leave should be granted. For my own part, I would not be prepared to grant the leave sought because, if there is no substance in the two grounds argued, there is insufficient in the proposed amended grounds to warrant the grant of leave. In my opinion the Court should set its face against late applications to amend grounds unless it is of the opinion that to refuse the amendment will occasion the risk of miscarriage of justice. For the reasons stated, I am not of that opinion.
"(1) This section applies to a legal proceeding ... that relates (wholly or partly) to a charge for - (a) a sexual offence; or (b) an indictable offence which involves an assault on, or injury or a threat of injury to, a person. (2) The evidence-in-chief of a witness for the prosecution may be given (wholly or partly) in the form of an audio or video recording of the witness answering questions put to him or her by a person prescribed for the purposes of this section if the witness is a person with impaired mental functioning or is under the age of 18. (3) Subject to sub-section (4), the recording is admissible in evidence in the proceeding as if its contents were the direct testimony of the witness if - (a) ... (b) ... (c) at the proceeding the witness - (i) identifies himself or herself and attests to the truthfulness of the contents of the recording; and (ii) is available for cross-examination and re-examination. (4) The Court may rule as inadmissible the whole or any part of the contents of a recording."
"5. For the purposes of s.37B of the [Evidence] Act, a person who - (a) is a member of the police force; and (b) has successfully completed a training course conducted by the Victoria Police on the procedure for making recordings - is prescribed."
Each of these provisions, in pursuit of laudable objectives, marks a significant departure from the practice and procedure in accordance with which persons charged with serious crimes have customarily been tried. Each has the capacity to impact upon the fair trial of an accused person unless applied with care and discretion by the trial judge, who has the overriding obligation to use his or her office to ensure that, within the judge's capability, the accused is not exposed to the risk of an unfair trial.
The applicant, who was aged 31 years at the relevant time, and had no history of sexual deviation or abuse, had been living in a de-facto relationship with L.S. for some 10 years. It was a turbulent relationship marked by lengthy periods of separation and bitter disputes over access to the four children of the union, of whom the complainant was the only girl and the second eldest of the children. In mid 1996 they were living with the children in rented accommodation at Gobur, a small rural hamlet near Alexandra in country Victoria. The applicant, who had previously worked in Melbourne in the printing trade, was unemployed and there was much friction in the home between him and L.S., which the latter described in her evidence as akin to "open warfare".
The complainant attended a kindergarten at Alexandra, some 30-40 kilometres from the home at Gobur. On the morning of 6 August 1996 the applicant drove the complainant to kindergarten where she was due to attend at 9.30 a.m. and remain until 2 p.m. L.S. had dressed the complainant that morning, which was cold and wet, in a jumper and "T-shirt" and two pairs of "leg-ins" or long pants, the innermost of which was of a black and white check pattern. Beneath these "leg-ins" the complainant wore a pair of "Casper" underpants to which she was particularly attached because they had an imprint on them which "glowed in the dark". Ms. Mits, the kindergarten director, said that the child was her "normal self" on 6 August and that, because of the conditions of weather, the children all stayed inside during the day. The applicant, who had done some shopping in Alexandra and returned home, left in the car to pick up the complainant at about 1.30 p.m. He said the car was "running roughly" and would not travel at speed. Nonetheless it appears that he arrived at the kindergarten and picked the complainant up shortly before 2 p.m.
"Wednesday 21/8/96; Between 4.30-7.00 [the complainant] and I were talking about the councellor (sic) that we went and seen today, to figure out if [she] wanted to go back tonight and [the complainant] said to me she didn't no (sic) what to say or how to say it. I told [the complainant] she only has to tell the truth and say what happened, like when she told me. I told [her] that the councellor (sic) would ask her a couple of questions like who done it or were (sic) did you stop and what happened to you, and then [the complainant] said to me they stopped at a cubby near were (sic) dead people were. [H]er dad told her to get out and open and shut the gate, their (sic) were sheep around. [The complainant] said her dad told her to go inside and see if there was a toilet, her father followed her in their (sic) ([she] remembers seeing a rope and a ladder). They had a look around, then went back outside. Daddy told [her] to lay down on the grass and pull her pants off. he then put his middle finger in her fanny. he was really rough and hard. [The complainant] kept yelling out, he kept saying shut up or I will cut your head off (he put his knife on her throat) he kept belting [her] around the ears. he then stopped doing all this to [her]. [She] said their (sic) was lots of blood. her dad got a jumper out of the car and wiped [her] fanny with it and chucked the jumper in the tree (not far away). [She] put her own pants back on, then went and had a look at the big stone thing were (sic) dead people were. Then daddy said get in the car, [she] also opened and shut the gate. On the way home her dad told her to go straight to the toilet and wipe her fanny. And also said if [she] was to tell anyone he would cut her head off. (he then re showed [her] the knife). [The complainant] said daddy undressed her in the lounge room and threw her underwear in the fire ([she] said while this was happening that if she didn't shut up he would get the rope and put it around her neck and hang her and he would go home and leave her here."
(a) "Dad put me up against the back of the cemetery wall and said he will tie me up to the back of the cemetery wall and leave me and go home."
(b) "[Dad] broke the ladder [in the cubby] because he sat on it. Dad got into the cubby with me. I got into the cubby because there was a hole. There was a broken part of the cubby. I needed to do a wee and I did ... Dad was in there when I did that. He sticked his finger underneath my wee and licked it off his finger."
(c) "Dad had a `Cougar' can that he was drinking and he gave me the last part of it to drink ... . He chucked it on the ground at the back of the cubby ... . Dad bought the Cougar from the Yarck shop."
(d) "Before we went to the Cougar shop at Yarck ... he stopped in the town ... and I went in and bought a lolly and a bottle of coke."
In this statement she also raised new allegations about the events which had occurred on 7 August 1996 when she was driving to the doctor with the applicant, her mother and two younger brothers. She said:
"When mum got out of the car to shut the gate, dad said: `If mummy asks ya, tell her you done it with a pencil'."
(i) That her dad had "hurt" her in the cemetery by "sticking his finger up my private part" on a day when they were driving home from kindergarten to Gobur.
(ii) That, in the car, the applicant "was playing with his private part" while "he was driving with one hand and pulled down his pants".
(iii) That the applicant had bought 3 cans of Cougar from the Yarck hotel.
(iv) That, when they got to the cemetery, the applicant had told her to open the gates and they drove in.
(v) That they had "climbed into this dark wooden house thing, a cubby" through "a little opening" and that the applicant had sat on a ladder inside and had broken it. (The complainant could not say why they had gone into the "cubby" or what had happened when they were in there.)
(vi) That when she came outside the "cubby" she "looked at people who were dead in the cemetery".
(vii) In response to "leading" questions she again said that the applicant had put his finger "up her private part" when they were "at the cemetery". She was "lying down on the grass behind the back of the cubby" and that he had "hit me around the ears" and told her "If you tell anyone I'll cut your neck off". When asked whether the applicant had "anything in his hands when he was belting you", the complainant shook her head.
(viii) She said she was wearing a jumper, a T-shirt and 2 pairs of pants.
(ix) That the applicant was wearing his "work-boots, T-shirt, jumper and his long pants that had all the ink over them".
(x) That after they returned home, the applicant had thrown her undies in the fire - "not a fire which you burn outside - a heater" which was in the house. The undies "had blood on them" which happened "by sticking his finger up my private part". He threw them in the fire "at night time when Mum was in the bar". She said she saw him throw them in the fire.
(xi) That the applicant "threw his jumper up in the tree, `cos he wiped my private part with it `cos it was bleeding"; it was "his black work jumper with all the ink over it".
(xii) That the applicant had said to her that "if you tell anyone I'll cut your neck off" and that when he said that he had "put the knife at my throat". When he said that she was "in the car". The knife was in his pocket and was "orange with a big blade on it".
(xiii) That before they went to the hotel in Yarck they had been to a shop in Alexandra where "he bought me lollies and a bottle of Coke". A man had served her in the shop while the applicant waited in the car. She drank the Coke and put the bottle on the floor.
(xiv) That the applicant had drunk 2 cans of Cougar which he threw on the floor of the car and one can which "he threw over the fence of the cemetery where the sheep were".
The complainant was asked whether the applicant did anything else to her at the cemetery and she replied "No".
Her Honour declined to exclude the "V.A.T.E. recording" in the exercise of her discretion on the basis that she had not been satisfied on the material placed before her on the voire dire that it was contaminated by the earlier events. Her Honour's ruling has not been specifically challenged on this appeal although Mr. Tehan has raised many of the same matters which were raised on the voire dire in support of his contention that the verdicts of the jury were unsafe.
The applicant denied that he had been to the cemetery at Gobur on 6 August with the complainant, denied that he had been in the hut, denied that he had penetrated the complainant and denied that he had threatened the complainant with a knife. He said it was well known to L.S. that he carried a "Stanley" knife with a retractable blade. He said he had taken the complainant to kindergarten on the morning of 6 August, that thereafter he had been to the bank and done some shopping in and around Alexandra before returning to Gobur. He said that he was "partial" to "Cougar" and had purchased a 3 can "pack" on special at the supermarket. He said that he had returned to the kindergarten to collect the complainant at about 1.45 p.m., had then stopped at the milk bar in Alexandra so that the complainant could get some lollies and a Coke; had then driven to Yarck where he had called in at the bottleshop to buy 1 can of "Cougar" (not 3 as the complainant said). He then drove home to Gobur and denied that he had stopped at the cemetery. He denied that he had exposed his penis or masturbated in the car, although he agreed he drank the can of Cougar on the way home. He said he arrived home at about 2.35 p.m. (although he said he did not wear a watch). He said the car was running very roughly and could not be driven at speed. He stopped, he said, at the mail box before driving down the road to the house. L.S. was, he said, in a foul temper when he got home because of the antics of the younger boys. She had gone out to pick up the oldest boy at about 3.05 p.m. and was away for an hour. He said that he would never hurt the complainant and she was in no way injured when he brought her home. He cooked the dinner; they ate it as a family; he then washed the oldest boy's hair and told the complainant to get undressed and come into the shower. He said he did not know what happened to the "Casper" underpants and he did not throw them in the fire. In cross-examination he agreed that they had searched for the underpants but could not find them. He said that he had similar jumpers to the one found by the police but that one was not his. It was his view that L.S. had caused the complainant to implicate him and had "planted" the Cougar can and the jumper in the cemetery. He said that "L.S. is capable of anything".
It was Mr. Tehan's submission that, having regard to the age of the complainant, the manner in which her evidence was received, the discrepancies in her various accounts and other factors which suggested that her evidence was unreliable, and the absence of any reliable corroboration, this was a case where the judge had an obligation to use the authority of her office to give to the jury a warning in strong terms that it would be unsafe to convict the accused solely on the evidence of the complainant. Her Honour had, at the end of the evidence but before addresses, been asked by counsel for the applicant to give such a warning. Because she declined to do so, counsel had to tailor his address accordingly. Mr. Tehan submits that the failure to give the type of warning which was called for amounted to judicial error giving rise to the unacceptable risk that a miscarriage of justice had occurred.
"In all cases like this it is very commonly (sic) that there is going to be no other actual witness of the events in question. As fact finders you need to be fully aware of the potential dangers of convicting on the evidence of one witness unless after careful scrutiny of the evidence you are satisfied of its truth and its accuracy. In any case where there is no external evidence to support a witness as to who it was that committed offence against them, you have to consider the potential for error. I should point out also that it is not necessary as a matter of law to have supporting evidence which confirms or supports a complainant as to who committed the offence, although you may consider in some circumstances that, in its absence, then the potential for error becomes greater. That is a matter for you to assess and use your common sense. Caution would suggest that there is a risk that people may have motives or hidden reasons for falsely accusing other persons of crimes and there is a risk that the accuser could be a more convincing witness than the accused. Here, although you have heard the Crown case, that there is no direct evidence that the accused was the offender, the Crown also points to the objective evidence which they say adds to the reliability of her story. That is the finding of the Cougar can, the blue jumper, and the description of the cemetery and the hut in the cemetery, and the fact that it is uncontested that she was injured in her vagina and bleeding on 6 August 1996. All these factors, the Crown says, should lead you to have some comfort when scrutinizing her evidence, that it is in fact reliable and true. You have also heard ... the defence comments on these matters, the denial that it is his jumper, the assertion that someone, probably [L.S.] planted these things in the cemetery to ... "set him up", that [L.S.] had motive and reason to get [the complainant] to lie about these things, that she had the opportunity to know about the cemetery because of the evidence that you heard that she had been there on other occasions, although again, she disputes and denies that ... . Also you should look at the fact of memory itself. The fact that it is common human experience that time does have an effect on memory, that it can fade over time, that honest people do sometimes convince themselves that some incidents occurred in a particular way in the past. One cannot ignore that fact that human imagination, emotion, prejudice, or suggestion that could have an effect on their memory of events. It is also common human experience ... that some things stick in a person's mind and never fade to the day they die ... ."
"These are only comments, members of the jury, that I am making to you about the way in which you go about assessing the evidence; they do not bind you and you do not have to approach it in that way, but it would be quite wrong in a child of this sort if you ignore the potential for error; if you do not look at these matters, that is all I am asking you to do. You ultimately have to make up your own mind, give the evidence full scrutiny and if you cannot resolve the conflicts of evidence, and if those conflicts cannot be resolved in relation to essential evidence, then the Crown has not satisfied you in relation to these particular counts. If you are able to be satisfied beyond reasonable doubt, after you have applied all this scrutiny of the evidence that I have indicated to you and after you have brought your collective commonsense to bear on the issues in this case, then you are bound to convict ... . I am simply saying to you that because of the nature of the evidence in this case and the issues that are involved, obviously you have to be careful about looking at the evidence."
There were other apparent inconsistencies in the accounts which were said to have been given by the complainant. One of these was the allegation that in the "cubby" the applicant had put his fingers in her "wee" and "licked them". This account disappeared from the evidence recorded on 4 June 1997 despite the valiant attempts by Stevens to get the complainant to recall things which had happened in the "cubby". If the jury had thought it improbable that the applicant could have got through the "square", it would no doubt have cast doubt upon this allegation in any event. Likewise her suggestion that the applicant had "broken a ladder" in the "cubby" by sitting on it. The evidence of the police officer, Coutts, was that there was nothing in the grave-digger's hut that suggested recently broken pieces of wood or indicated that what was once a ladder had been broken.
"What then is the Canadian common law rule which applies when a child witness is unable or unwilling to complete cross-examination? Some of the older common law authorities suggest that if the inability to cross-examine the witness is the fault of the witness or the party calling the witness, the evidence-in-chief should be struck. I am not persuaded, however, this is an appropriate rule to apply to a child witness, particularly where there has not been a complete inability to cross-examine. Rules of evidence and trial procedure need to be applied to child witnesses with flexibility and common sense and such a rule is inconsistent with that approach. In my opinion, the common law rule is that whether the trial may proceed after an incomplete cross-examination of a child witness or some other remedial action should be taken is entrusted to the discretion of the trial judge. That discretion is to be exercised taking into account the various factors discussed in the preceding sections with a view to ensuring both a fair trial for the accused and with due regard for the pursuit of truth."
"Where the guidelines ... have not been followed, evidence of young children can be dangerously suspect. This is a legitimate area for expert evidence, although this will be of much greater value to a jury with no knowledge of the topic than to ... a judge who may have had great experience of it."
His Lordship then referred, with approval, to a passage in the judgment of the Court of Appeal in the case of R. v. Davies (unreported, 3 November 1995) where Swinton Thomas, L.J. had said:
It is fundamental that experts must not usurp the function of the jury in a criminal trial. Save in particular circumstances, it is the task of the jury to make judgments on the questions of reliability and truthfulness. Particular circumstances arise when there are characteristics of a medical nature in the makeup of the witness, such as mental illness, which would not be known to the jury without expert assistance. Those circumstances do not arise in the case of ordinary children who are not suffering from any abnormality. It may well be open to parties to call general expert evidence in relation to the Cleveland Guidelines and, for example, to tell the ... jury that over-interviewing as a matter of generality has been shown by expert research to have a much more adverse effect on children than on adults but the witness cannot express an opinion on whether a particular child witness is a reliable or truthful witness. This is precisely the province of the jury in a criminal case ... ."
"because its reception would be unfair to the accused in that it might place him at risk of being improperly convicted, either because its weight and credibility cannot be effectively tested or because it has more prejudicial than probative value and so may be misused by the jury."
"Evidence is prejudicial ... if there is a real risk that it will contribute to an erroneous verdict, either because its weight and credibility cannot be effectively tested by the defence or because it may be misused by the jury."
"It is the inability to cross-examine that may in all the circumstances of a given case cause the statement to be excluded in the interests of a fair trial. It may be possible to bring the example, as Pattendon would, within the 'prejudice outweighing probative value' principle, but we are disposed to think it is better to say that, if such a statement is excluded, this is done to secure a fair trial."
"The police officer appears to have learned nothing at all of the dangers of contaminating the evidence of very young children by suggestions made to them in the course of an interrogation, dangers which had been so widely discussed following the failure of the notorious 'Mr. Bubbles' prosecution, referred to briefly in AG (NSW) v. TCN Channel Nine Pty. Ltd. (1990) 5 B.R. 10. His main purpose appears to have been to obtain evidence of sexual assaults by the appellant, but there could have been no doubt (even in the mind of a five-year-old boy) that he was suggesting that it was the appellant who was responsible for his injuries.
But nothing which the police officer said could match the intensity of the sustained attempt by the boy's mother to have him identify the appellant as the person responsible. The interrogation goes on and on in the most forceful manner. The probability of contamination was so great that little if any weight could safely be placed upon the boy's eventual identification of the appellant. This case illustrates yet once more the dramatic need for the procedures for the interrogation of very young children to be re-assessed in order to prevent the contamination and consequential destruction of evidence which could otherwise have been given of criminal activity in this type of case. Some work has been done, but tragically the dangers of contamination remain present."
"The approach of the courts has been and should be one with a very strong predisposition to the view that, questions of fact and credibility being for the jury and the jury being an institution in whose capacity and integrity confidence is reposed by the courts, evidence which is probative should go to the jury despite its infirmities, accompanied by the trial judge's directions concerning the considerations, both general and particular, affecting its reliability, including of course in an appropriate case the matter of corroboration."
Thus, assuming that in the context referred to earlier the complainant is similarly uncooperative during her cross-examination at any re-trial, there would be no unfairness to the applicant if the question of the reliability of her evidence were left to the jury, albeit with an appropriate direction, given that all the circumstances which might make her evidence unreliable, including her demeanour during cross-examination, would be properly exposed for their consideration.
R
NRC [1999] VSCA 184