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[2003] VSCA 204
Court of Appeal (Vic)
2003-12-12
WINNEKE, P., VINCENT and EAMES, JJ.A.
Original judgment source is linked above.
He directed that two months of the sentence imposed on count 2 was to be served cumulatively upon that imposed on count 5, thus creating a total effective sentence of imprisonment for 38 months in respect of which a non-parole period of two years and six months was fixed. His Honour further declared that the applicant had been sentenced on counts 4 and 5 as a serious sexual offender.
"1. That the learned trial judge erred in failing to grant leave under s.37A of the Evidence Act. 2. That the learned trial judge erred in failing to exclude from evidence question 76 of the record of interview and its answer. 3. That the verdicts of the jury in relation to counts 1, 2, 4 and 5 were unsafe and unsatisfactory."
"He rubbed me on the bum, grabbed my hand and put it on his penis over the top of his jeans. Got his penis out of his jeans and cupped my hand with his, holding his penis, rubbing up and down. It only lasted for a couple of minutes and then he came - he ejaculated." [1]
"...on regular occasions he'd touch me either on the breasts, bottom or vagina on the outside of my clothing."[2]
She would also at his instigation touch his penis through his clothing.
"He asked me to lay down next to him, so I did. He started kissing me and pushed my head down towards his penis. ... He released his penis from his jeans and asked me to kiss it gently. ... I kissed down the sides and around the top. I stopped and he asked me to keep going and I didn't want to and he did up his jeans and left the bungalow."[3]
During the course of these activities, her hand went around the applicant's penis.
"He pulled over to the side of the road and started kissing me and touching my breasts and asked me to give him oral sex. He released his penis and I did so for about five minutes and then he just stopped and put it back in his pants and drove me to Dad's."[4]
"Q.76 Do you know why [L] would say all these things if none of them were true? A. No, but from what I can remember of [L], [she] always was a little girl that wanted to be a big girl very quick from what I can remember offhand. As far as the allegations go, well, I'm sorry, they're not true, and I'm not sorry that they're not true. But, no, as far as anything - as far as that goes - no. I also have a daughter and no, definitely no - definitely not."
"In my view that four-stage argument, although superficially attractive, should be rejected. It gives the three answers in the record of interview an importance out of all proportion to their real significance. There were simply two questions by the investigating police that gave the applicant an opportunity to suggest a motive if he wished. That is quite different from cross-examination designed to insinuate that it bolsters the complainant's credit that an accused person cannot suggest a motive for her to lie. The reasoning that Palmer's case shows to be impermissible was not deployed by the prosecutor in his final address. Neither the burden nor the standard of proof was impliedly diminished."[5]
"[Counsel] bases his argument for excluding what is left of the answer[7] to question 76 on the premise that such a question if sought to be asked by the learned prosecutor of the accused were he to give evidence, would be impermissible as being irrelevant - see R. v. Palmer .... In so far as that is concerned [the Prosecutor], during argument, conceded that if question 76 and what is left of the answer is permitted to remain, he could neither cross-examine the accused about that subject were the accused to give evidence, nor could he make any comment or submission to the jury at any stage of the trial about that subject, and the matter would simply be left as it is to form part of the record of interview."[8]
"But he has made it clear that he does not propose to conduct the case for the prosecution in any way which would infringe the decision in Palmer or in Arundel. In particular he acknowledges that nothing he may do, or is entitled to do, would cause there to be any departure from the standard position, namely that the Crown has the burden of proof and that at no time in the trial does that shift in any way, or in any respect to the accused. Having looked at question 76 and what remains of the answer I do not see any reason why it cannot remain consistently with the passage in the judgment of Callaway, J.A. to which I have referred. It did provide an opportunity to Mr O'Neill to proffer an explanation if he chose to do so, and he did, and in my view there is nothing about that which is inconsistent with the decision of the High Court."[9]
"It is one thing to permit cross-examination of a complainant in order to elicit, if possible, a motive to lie. It is another thing to permit cross-examination of an accused to show that an accused cannot prove any ground for imputing a motive to lie to the complainant. A complainant knows whether he or she has a motive to lie and, as a motive to lie is a fact that may be proved to impeach the complainant's credit, the complainant may be asked about it. ... But the fact that an accused has no knowledge of any fact from which a motive of the kind imputed to a complainant in cross-examination might be inferred is generally irrelevant. In general, an accused's lack of knowledge simply means that his evidence cannot assist in determining whether the complainant has a motive to lie...."[11]
His Honour formed the view that, in the circumstances of the matter before the Court, neither of these concerns could be seen to arise. What Callaway, J.A. did not say was that evidence of the asking of a question of the "why would she lie" kind would be admissible in the course of a police interview in circumstances in which the question and answer possessed no probative value in the trial. Nor did he say or imply that evidence that the police proffered to an accused the opportunity to provide an explanation of the possible motives for the making of a complaint against him of itself possesses any such value. At no stage in the present matter did the prosecutor advance any basis for the admission of the evidence as relevant to any issue before the jury. As Callinan, J. pointed out in Graham v. R:
"... questions of the kind asked could quite properly be asked by the investigating police officers as part of the investigative process. That the police officers might do so may be accepted. However, that the police officers may have asked such questions provides no basis for the introduction of this issue into evidence at the trial." [12]
"(1) Notwithstanding anything in this or any other Act or any rule of law to the contrary the following Rules shall apply in relation to any proceeding, including a committal proceeding, that relates to a charge for a sexual offence, whether or not the proceeding relates to any other charges against the same or any other person and whether or not it is alleged that there are aggravating circumstances: (1) The court shall forbid any question as to and shall not receive evidence of the general reputation of the complainant with respect to chastity. (2) Without the leave of the court - (a) the complainant shall not be cross-examined as to his or her sexual activities; and (b) no evidence shall be admitted as to the sexual activities of the complainant. (3) The court shall not grant leave under Rule (2) unless - (a) it is satisfied that the evidence has substantial relevance to facts in issue or is proper matter for cross-examination as to credit; ... (4) Evidence that relates to or tends to establish the fact that the complainant was accustomed to engage in sexual activities shall not be regarded- (a) as having a substantial relevance to the facts in issue by virtue of any inferences it may raise as to general disposition; or (b) as being proper matter for cross-examination as to credit in the absence of special circumstances by reason of which it would be likely materially to impair confidence in the reliability of the evidence of the complainant. (5) An application for leave under Rule (2)- (aa) must, in the case of an application to cross-examine the complainant as to his or her sexual activities- (i) be in writing and given to the Director of Public Prosecutions and, ...
...
(B) in the case of a trial, at least 14 days before the date fixed by the Criminal Trial Listing Directorate as the date on which the trial is to be listed for hearing; (ii) set out- (A) the initial questions sought to be asked of the complainant; and (B) the scope of the questioning sought to flow from the initial questioning; and (C) how the evidence sought to be elicited from the questioning has substantial relevance to facts in issue or why it is proper matter for cross-examination as to credit;
...
(c) shall not be granted unless the court considers that the requirements of Rules (3) and (4) are satisfied but in that case may be granted provided that the court considers it desirable in the interests of justice so to do. (5A) The Director of Public Prosecutions must forward an application referred to in Rule (5)(aa) given to the Director of Public Prosecutions under that Rule-
...
(b) in the case of a trial, to the Criminal Trial Listing Directorate together with the copy of the presentment required to be forwarded to that Directorate. (5B) Nothing in Rule (5) or (5A) prevents a court, because of the existence of exceptional circumstances, hearing and determining an application to cross-examine the complainant as to his or her sexual activities that is made after the expiry of the period referred to in Rule (5)(aa)(i). (5C) Despite anything to the contrary in Rule (5), the court may, because of the existence of exceptional circumstances, waive the requirement that an application to cross-examine the complainant as to his or her sexual activities be made in writing. (6) If the court grants leave under Rule (2) it- (a) must state in writing the reasons for granting leave; and (b) cause those reasons to be entered in the records of the court."
"... the accused man, if he so decides through his counsel, is entitled to explore what he says are the circumstances behind the false complaint, and if a false complaint has been made as response to another accusation in an attempt to perhaps shift the blame or shift attention in response to another accusation, that's a matter that he is entitled to explore particularly if that Question 76 remains in the interview."[13]
"Since s.37A was first introduced there has been concern in the community that the provision and its interpretation was not affording victims of sexual assault with the protection that was desired. Accordingly, amendments to s.37A embodied in the Crimes Amendment Bill were introduced by the Attorney General. In her Second Reading Speech the Honourable Jan Wade, the then Attorney, made reference to the history and purpose of the section and the amendments then being made. On 9 October 1997 Hansard 429-430 the Attorney stated: 'The purpose of the amendment is to stop prohibited questioning taking place by ensuring that well in advance of the proceeding all parties turn their minds to the issues and relevance of prior sexual history and the scope of any proposed questioning. This will reinforce the importance of complying with the provisions and filter out improper questioning.' It is clear by reference to the Second Reading Speech that time was an important component in the legislative scheme which is embodied in s.37A."[14]
"No plausible or satisfactory explanation has been provided to explain why the section was not, or could not have been complied with. I do not accept that the late briefing of [counsel] constitutes exceptional circumstances, where Mr O'Neill has at all times relevant been legally represented."[15]
"The expression 'exceptional circumstances" with which s.37A(1) rules 5B and 5C are concerned have been used in various legislation for many years. Courts have consistently refrained from and cautioned against attempting to define what constitutes exceptional circumstances, preferring to consider the facts and the circumstances of each case:" "In my view the relevant facts and circumstances here include any explanation for the failure to make the application within the time specified and to provide the written particulars specified. That is the procedural requirement. It is also appropriate to look at other aspects of the trial to determine whether they give rise to exceptional circumstances."[16]
"Where, notwithstanding that as a matter of law there is evidence to sustain a verdict, a court of criminal appeal is asked to conclude that the verdict is unsafe and unsatisfactory, the question which the court must ask itself is whether it thinks that upon the whole of the evidence it was open to the jury to be satisfied beyond reasonable doubt that the accused was guilty. But in answering that question the court must not disregard or discount either the consideration that the jury is the body entrusted with the primary responsibility of determining guilt or innocence, or the consideration that the jury has had the benefit of having seen and heard the witnesses. On the contrary, the court must pay full regard to those considerations.[17]
...
...where the evidence lacks credibility for reasons which are not explained by the manner in which it was given, a reasonable doubt experienced by the court is a doubt which a reasonable jury ought to have experienced. If the evidence, upon the record itself, contains discrepancies, displays inadequacies, is tainted or otherwise lacks probative force in such a way as to lead the court of criminal appeal to conclude that, even making full allowance for the advantages enjoyed by the jury, there is a significant possibility that an innocent person has been convicted, then the court is bound to act and to set aside a verdict based upon that evidence. In doing so, the court is not substituting trial by a court of appeal for trial by jury, for the ultimate question must always be whether the court thinks that upon the whole of the evidence it was open to the jury to be satisfied beyond reasonable doubt that the accused was guilty." [18]
"That function is not discharged merely by a consideration of whether there was a sufficiency of evidence to sustain a conviction, for it is clear that a verdict may be unsafe or unsatisfactory notwithstanding that there was evidence sufficient to entitle a reasonable jury to convict. So much is clear from the following passage in the joint judgment of Gibbs C.J. and Mason J. in Chamberlain (No.2)[footnote omitted]: `In Raspor v. The Queen and Plomp v. The Queen, it was recognized that a court of criminal appeal may interfere with a verdict which is unsafe or unsatisfactory even if there is sufficient evidence to support it as a matter of law, and even though there has been no misdirection, erroneous reception or rejection of evidence, and no other complaint as to the course of the trial. In other words, even if there is some evidence on which a reasonable jury might be entitled to convict, a Court of Criminal Appeal has the responsibility to consider whether "none the less it would be dangerous in all the circumstances to allow the verdict of guilty to stand": Hayes v. The Queen.' A Court of Criminal Appeal must make an independent assessment of the evidence, both as to its sufficiency and its quality."[19]
* claimed inconsistencies between the evidence given by the complainant at the trial and that given by her at the committal hearing (counts 2, 4 and 5);
* claimed inconsistencies between the complainant's statement made to the police and her evidence at trial;
* an absence of evidence as to the circumstances in which the offence could have been committed (count 1);
* lack of detail as to the circumstances in which the offence was alleged to have been committed (count 4);
"The first ground argued was that the verdict of `not guilty' on counts 1 and 5 are inconsistent with the verdicts of `guilty' on the other counts. It was not argued that the verdicts were legally or technically inconsistent with each other on the face of the record, such as the conspiracy verdicts referred to in R. v. Mitchell, or a conviction both of an attempt and of the completed offence (R. v. Roach), or of being both the thief and receiver: see also R. v. Whelan. The inconsistency here relied on is the second kind of inconsistency in which the applicant must contend and satisfy the Court that there is such inconsistency in the verdicts that no case could have arrived at the two different conclusions at which they did:" [22] (Citations omitted)
Nevertheless, counsel for the applicant contended, it is difficult to see how the different outcomes in the trial can be reconciled as, for practical purposes, the evidence against his client on each count came from the same single source. This should, it was said, produce a sense of disquiet and, taken in conjunction with the other matters to which I have adverted, lead to the conclusion that the verdicts of guilty must be regarded as unsafe and unsatisfactory.
"... which are adequately supported by the evidence simply because a judge might find it difficult to reconcile them with the verdicts which had been reached by the jury with respect to other charges. Sometimes juries apply in favour of an accused what might be described as their innate sense of fairness and justice in place of the strict principles of law. Sometimes it appears to a jury that although a number of counts have been alleged against an accused person, and have been technically proved, justice is sufficiently met by convicting him of less than the full number. This may not be logically justifiable in the eyes of a judge, but I think it would be idle to close our eyes to the fact that it is part and parcel of the system of administration of justice by juries. Appellate courts therefore should not be too ready to jump to the conclusion that because a verdict of guilty cannot be reconciled as a matter of strict logic with a verdict of not guilty with respect to another count, the jury acted unreasonably in arriving at the verdict of guilty. A jury may be quite reasonable in arriving at the verdict of guilty. That verdict may be amply supported by the evidence. They may decide for reasons of their own, unrelated to the strict logic of the situation, that they are unwilling to arrive at a verdict of guilty on another count in the information."[24]
[5] [1998] VSCA 102; [1999] 2 V.R. 228 at 252.
[6] T47. This misunderstanding may possibly have arisen from the statement in paragraph (6) of the headnote in Arundel "By Charles and Callaway, JJ.A. The questions in the record of interview about the complainant's motive to lie were not improperly admitted." This statement is incorrect and does not reflect what appears in the judgment at [62].
[7] Portion of the answer was excluded for unrelated reasons.
[12] [1998] HCA 61; (1998) 195 C.L.R. 606 at [43] per Brennan, C.J., Gaudron and Gummow, JJ.
[17] [1994] HCA 63; (1994) 181 C.L.R. 487 at 493.
[19] Morris v. The Queen [1987] HCA 50; (1987) 163 C.L.R. 454 at 473 per Deane, Toohey and Gaudron, JJ.
[20] Longman v. R. [1989] HCA 60; (1989) 168 C.L.R. 79.
[21] That case concerned a number of allegations of the commission of sexual offences against a single complainant and depended in large measure upon the acceptance of her evidence by the jury.
[22] R. v. Nanette [1982] VicRp 8; [1982] V.R. 81 at 83. See also the cases there cited by his Honour; R. v. Jukov Court of Appeal, unreported, 7 December 1995; R. v. Harvey [1997] 2 V.R. 121.
R
O'Neill [2003] VSCA 204
Criminal Law - Conviction - Indecent act with child under 16 years - Incest - Exclusion of evidence - Section 37A Evidence Act - No exceptional circumstances present under Rule (5) - Evidence of police questioning as to possible motive of complainant - No miscarriage of justice - Decision of Callaway, J.A. in R v Arundel [1998] VSCA 102; [1999] 2 V.R. 228 considered - Grant of leave to cross-examine complainant not appropriate in the circumstances - Whether guilty verdicts regarded as unsafe and unsatisfactory - R v M [1994] HCA 63; (1994) 181 C.L.R. 487 - Longman warning given - Application dismissed.