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[1998] VSCA 61
Court of Appeal (Vic)
1998-10-09
PHILLIPS, C.J., BATT and KENNY, JJ.A.
Original judgment source is linked above.
* five offences of incest (counts 3, 4, 10, 20 and 24);
* four offences of causing a child to take part in prostitution (counts 12, 16, 18 and 19);
and of committing upon his younger step-daughter B:
* three offences of incest (counts 5, 11 and 23); and
By operation of law, the sentences imposed upon counts 2, 3 and 4 are to be served concurrently; and her Honour directed that the sentences imposed upon counts 3 and 4 be served concurrently. Pursuant to s.16(3A) of the Sentencing Act 1991 as it then stood her Honour ordered that the sentences imposed upon counts 8 and 9 be served concurrently; that the sentences imposed upon counts 10 and 11 be served concurrently; that the sentences imposed upon counts 18, 19 and 20 be served concurrently; and that all other sentences be served cumulatively. The total effective sentence was thus 12 years' imprisonment. Her Honour fixed a non-parole period of 10 years. She declared that 10 days' pre-sentence detention be reckoned as already served.
"1. The jury verdicts are unsafe and unsatisfactory in all the circumstances, and in particular:- i) The nature and quality of the evidence was such that it was not open to the jury to be satisfied beyond reasonable doubt of the Applicant's guilt; ii) The uncertainty of the dates alleged in the presentment and the Complainant's evidence embarrassed the Applicant in his defence; and iii) The cumulative effect of the above matters and those complained of in grounds two to five resulted in a miscarriage of justice. 2. The Learned Trial Judge erred in refusing to discharge the jury after inadmissible evidence of 'uncharged' acts was led from the witness [A]. 3. The evidence of 'uncharged acts', even if strictly admissible, went beyond evidence of 'context' thereby causing the trial to miscarry. 4. The Learned Trial Judge erred in her directions to the jury regarding proof of 'uncharged acts' and the use to be made of them. 5. The Learned Trial Judge erred in directing the jury 'in general, the law says that people who are compelled to submit to sexual acts complain about them and so you are allowed to lead evidence of complaint, and you can use the absence or delay in making a complaint to suggest inconsistency of that witness who is giving evidence - that is to suggest that the person giving evidence is not a credible witness' (T484)."
"Moreover, the law requires that there be certainty as to the particular offence of which an accused is charged, if for no other reason than that he should, if charged with the same offence a second time, be able to plead autrefois convict or autrefois acquit."
That is not the same as the proposition which Mr. Tehan propounded. Thirdly, an allegation in an indictment, presentment or information of the date upon which an offence has been committed is, at common law, not a material allegation unless the date is an essential part of the offence: Hackwill v. Kay [1960] VicRp 98; [1960] V.R. 632 at 634, where the Full Court quoted a lengthy passage from the judgment of Atkin, J. for the English Court of Appeal in R. v. Dossi (1918) 13 Cr.App.Rep. 158 at 159-160 which concludes:
"It follows, therefore, that the jury were entitled, if there was evidence on which they could come to that conclusion, to find the appellant guilty of the offence charged against him, even though they found that it had not been committed on the actual date specified in the indictment. It is, therefore, unnecessary to consider whether there was power to amend the indictment ..."
R. v. Tieman [1908] VicLawRp 2; [1908] V.L.R. 4 is another Full Court decision to the same effect. Reference may also be made to s.375 of the Act. The offence the subject of count 2 does not fall within any one of the four cases where time is stated to be of the essence of the offence in the note (q) to Halsbury's Laws of England, 3rd edn., Vol.10, 387-388, para.702, cited with approval in Hackwill v. Kay at 634. It is true that an element of the offence, of which the jury had to be satisfied beyond reasonable doubt and which should be stated in the count (R. v. Martin [1839] EngR 931; (1840) 9 C&P 213; 173 E.R. 808), was that B was at the time of its commission under the age of 16 years. But that does not mean that the date was an essential part of the offence. Finally, though I doubt whether this would be an answer if the point of uncertainty were otherwise good, it is to be noted that the no-case submission, which began as being that the evidence on count 2 was insufficient, and became a submission that there was an uncertainty about the time, was abandoned after a brief discussion of dates, counsel for the applicant stating that he would not take her Honour's time.
"Where on the trial of a person for an indictable offence it appears that the facts in evidence amount in law to another indictable offence carrying a heavier penalty, he shall not for that reason be entitled to be acquitted of the offence charged and ... shall not be liable to be prosecuted afterwards for the other offence."
* her sister B, as to the general happenings on bingo nights (such as hearing male voices, music and sex noises and seeing A sometimes in nighties);
* her sister B, as to the existence of the video and as to its storage in a cupboard in the bedroom of the applicant and her mother;
* her sister C, as to the general happenings on bingo nights and as to seeing her parents watching the video depicting A naked from the waist up;
Mr. Ryan pointed out that B had made complaint in 1993, when aged 16, and withdrew the complaint the following year in order, she said, that she might be re-united with her family. Mr. Ryan submitted, correctly in my opinion, that the test to be applied in the determination of the so-called unsafe and unsatisfactory ground was still that set out in M v. The Queen [1994] HCA 63; (1994) 181 C.L.R. 487, referring to R. v. Taafe [1998] V.C.A. 4 at para.53. The view there expressed has subsequently been agreed in by Winneke, P. in R. v. Saffoury [1998] VSCA 36 at p.9.
Grounds 2, 3 and 4: the uncharged acts and the course of the trial
(i) evidence by A that before any incident of penetration had occurred the applicant had touched her in some unidentified manner having sexual overtones;
(ii) evidence by A that she had sexual intercourse in return for payment to the applicant almost every Thursday night with male visitors to the home, usually "John"; and that that had occurred "lots of times, heaps of times ... anywhere up to 100 times";
(iii) the evidence of A that on these occasions the applicant would masturbate and "insert his fingers into my anus, insert his fingers into my vagina and fondle my breasts";
(iv) evidence by A of the making by the applicant of the pornographic video;
(v) evidence from A of her having intercourse with "Rino" on the two or three occasions other than the occasion the subject of the relevant count;
(vi) evidence of D that she saw A with her head between the applicant's legs when his pants were down.
All the foregoing evidence, except that last stated, had been given before the application for discharge of the jury was made. The question of uncharged acts was first mentioned by the prosecutor on the first day of trial, when answering an objection to his asking A a leading question. In the jury's absence he indicated that he proposed to lead evidence of uncharged acts as showing the relationship between the applicant and A. Counsel for neither accused voiced any objection. Shortly before the adjournment that day and still in the absence of the jury her Honour stated what she understood to be the evidence of uncharged acts and that she proposed the following morning to give the jury a direction about the use to which that evidence might be put. Counsel for the applicant asked the judge to hear counsel in the morning on the point and her Honour agreed to do so. The following morning, counsel for the applicant applied for the discharge of the jury on the grounds that the prosecutor had led from A evidence that went outside the realms of the counts charged and that this had put his client in an unenviable position because of the highly prejudicial nature of the evidence. He submitted that the situation was "unrectifiable really". He was particularly concerned about the evidence of intercourse with persons other than the applicant, which, he said, could not go to the relationship between the two of them, especially as the prosecutor had gone on to ask the witness to put a number on the "lots" or "heaps" of times. He acknowledged that he had not objected, saying in substance that he had expected the evidence to be confined within "certain realms". Her Honour sought the prosecutor's assistance on identifying the evidence relating to the counts from count 12 onwards. After that was done, the prosecutor said that the evidence of sexual intercourse with other men on numerous occasions and of the applicant's masturbating himself was part of the general illicit sexual relationship he had with her; that it was part of the overall pattern; and that it explained A's failure to complain because it showed the domination of her by the applicant.
"Now, the law recognises, I think, what some people call a guilty passion of an adult for a child, and the way that this evidence traditionally is allowed in our courts is, if you find this evidence credible, if you accept it, that it simply makes it more credible to understand how the acts occurred in the counts that are actually before you. Now the evidence of the Thursday nights is slightly different, because it is not suggested that you can use this evidence to establish a guilty passion between [A] and the men participating in the acts of prostitution, or in any way so directly as that, but it is simply put before you, as I understand it, to give you the background pattern of what it was that happened on Thursday nights in the [McL] household. It is put because you might otherwise not be able to understand the evidence which is given in relation to the particular prostitution counts. It might explain for you, if you accept it, why it was that [A] submitted on the particular occasions which are the subject of the counts, and it is put before you simply in that way. It is not put before you in order to demonstrate that the acts which are alleged to have occurred on those particular nights can be proved to have occurred by using this evidence. You must be careful to use that evidence in the way that I have directed you to."
Her Honour concluded this portion of the charge by repeating her warning that the evidence of prior sexual conduct "between [the applicant] and A and B" and the prostitution evidence had no relevance to the charges against X.
(i) none of the so-called relationship evidence could be used to establish an unnatural relationship between the applicant and B.
(ii) the judge simply left the evidence to the jury to use if they were satisfied that it (or rather, perhaps, uncharged acts) occurred. This, Mr. Tehan submitted, was not a satisfactory way to leave uncharged act evidence: there should be no different standard for acceptance of that evidence than if the act had been charged.
(iii) the judge put it that the evidence could be used to place the counts on the presentment (more accurately, "the evidence which is given regarding the counts") "in a proper realistic setting". Mr. Tehan submitted that, if admissible, the evidence could only be used on the prostitution counts. Her Honour had not, he submitted, made that clear enough.
(iv) there was no evidence that the applicant had done anything in the past of a criminal nature with B.
(v) evidence of uncharged criminal acts, contrary to her Honour's statement, is not admitted to "make(s) it more credible to understand how the acts occurred in the counts that are actually before you" (Mr. Tehan's emphasis). Using the evidence in that way would, he submitted, be to use it as a make-weight, like evidence of fresh complaint.
Mr. Tehan in his oral argument added that her Honour's directions relating to uncharged acts did not mention the applicant's masturbation or his penetration of orifices of A on the nights of prostitution. Mr. Ryan, for his part, pointed out that the applicant did not impugn the judge's direction to the jury which occurred immediately after her ruling on the application for discharge of the jury. Moreover, no exception had been taken to that direction, either as to its content or its adequacy. It should also be stressed that no exception was taken on behalf of the applicant to the directions in the charge which are now impugned.
"If it appears to the Court of Appeal that an appellant, though not properly convicted on some count or part of the indictment ... has been properly convicted on some other count or part of the indictment, ... the Court may either affirm the sentence passed on the appellant at the trial or pass such sentence in substitution therefor as it thinks proper and as may be warranted in law by the verdict on the count or part of the indictment ... on which the Court considers that the appellant has been properly convicted."
By s.566 "indictment" includes presentment. The singular "count" of course includes the plural.
"It must be a sentence which has a direct relation to the conviction which has been quashed. If it relates exclusively to a conviction on a count in the indictment in respect of which there was no appeal, and is not itself the subject of appeal, there is no occasion to consider its adequacy with a view either to affirmation or substitution." (Emphasis added.)
"Given a regular joinder of the counts, there is no injustice in increasing the sentence in respect of a conviction which stands if the increase is occasioned by the setting aside of the sentence which carried the appropriate penalty for conduct which constitutes either an element of the offence of a part of the series of offences for which the appellant stands convicted ... The power to affirm the sentence or to substitute another sentence under s.569(1) is not needed where there are appeals against that sentence under s.567A or s.568. Section 569(1) must have an operation additional to that for which those sections provide."
His Honour expressed at 25-26 the further obiter view, somewhat similar to that of Stephen, J., that it could "appear" to the Full Court that an appellant had been properly convicted on some remaining count without the propriety of the conviction having been canvassed in argument before the Full Court and in particular without there having been an appeal against conviction on that remaining count.
"where a separate sentence is imposed in respect of each count in an indictment on which there is a conviction, I do not think it is open to say that the sentence which is imposed directly on the conviction which is later quashed on appeal contains any element of survival because of some relationship to the remaining counts [,and in] truth, there is no such relationship.",
would appear to be that the sentence on the remaining counts could never be affirmed or replaced pursuant to s.569(1). Yet, that is inconsistent with what is implied in or the corollary of the statement appearing shortly thereafter to the effect that the sub-section does not authorise any interference with the sentences which have been separately imposed "on counts not the subject of appeal". The obiter remarks of Brennan, J. at 25 demonstrate, in my respectful view, that the sentence affirmed or replaced "must plainly be a sentence which, after an appeal against conviction on one or more counts is allowed, is supported by the conviction or convictions which stand; it cannot be the sentence in respect of the conviction or convictions which are quashed." Be that as it may, the passages from 20-21 in the judgment of Wilson, J. considered in this paragraph do not represent the views of a majority, but only of two, of the justices in Ryan.
I would direct that the sentences imposed on counts 3, 4, 12, 16 and 24 be served concurrently on each other; that the sentences imposed on counts 8 and 9 be served concurrently on each other; that the sentences imposed on counts 10 and 11 be served concurrently on each other; and that the sentences imposed on counts 18, 19 and 20 be served concurrently on each other. I would direct that otherwise the sentences imposed by this Court be served cumulatively upon each other. That makes a total effective sentence of 12 years' imprisonment. Having regard to the gravity of the offences, and the lack of rehabilitative prospects, I would fix a non-parole period of 10 years.
1. The application for leave to appeal against conviction is granted.
2. The appeal is treated as instituted and heard instanter and allowed to the extent set out below, but otherwise is dismissed.
3. The convictions on counts 2, 5, 6 and 23 are quashed, the sentences imposed on those counts are set aside, and a new trial be had on those counts.
4. The convictions on counts 3, 4, 8, 9, 10, 11, 12, 16, 18, 19, 20 and 24 are confirmed.
5. The sentences passed on the applicant in the County Court at Melbourne on 18 August 1997 on counts 3, 4, 8, 9, 10, 11, 12, 16, 18, 19, 20 and 24 and the non-parole period then fixed are set aside and in substitution therefor the applicant is sentenced to the respective terms of imprisonment set out earlier, and the declarations as to concurrency and cumulation set out earlier are made, making a total effective sentence of 12 years' imprisonment; and in respect thereof a non-parole period of 10 years is fixed.
6. Declare that the period of 427 days is the period of pre-sentence detention already served by the applicant under the sentence and direct that the making of this declaration and its details be noted in the records of the Court.
R
R H McL [1998] VSCA 61