REGINA v Cam Quyen VU
Judgment
1 BROWNIE AJA: The appellant was convicted upon a charge of supplying a prohibited drug on an ongoing basis, in that in breach of the provisions of s 25A of the Drug Misuse & Trafficking Act 1985, he supplied cocaine, for financial or material reward, on three or more occasions on the one day, 6 September 2001. He was sentenced to six years imprisonment, with a non-parole period of four years and six months. He appeals, submitting that the summing up was deficient in two respects, and that the penalty imposed was excessive.
2 Some facts are not in dispute. Various police officers suspected that some person was or some persons were supplying cocaine and/or heroin from a flat or home unit known as Unit 4, 27 McBurney Street Cabramatta, and they set out to prove it, so as to be able to mount a prosecution against the offenders. The unit in question was located one floor above ground level. Generally speaking, the building consisted of three floors of units, raised above ground level and resting upon pillars, with the lowest floor of units one floor above parking spaces at ground level. Apart from the parking spaces, all that there was at ground level was a series of pillars supporting the building, and a staircase leading upwards to the first floor.
3 Early on the morning of 6 September 2001, whilst it was still dark, four undercover police officers, masquerading as cocaine purchasers, approached the building separately. Each had been provided in advance with a $50 banknote, or other banknotes to the value of $50, and the banknotes had been photocopied, for possible future identification. Pursuant to the overall plan, each undercover officer took steps to attract the attention of someone who would come out onto the balcony of Unit 4. That person then lowered to the person at ground level an empty cigarette packet, attached to a string or wire. The person at ground level put $50 into the cigarette packet, which was raised back to the balcony. There was then a brief conversation, in which the undercover officer asked for $50 worth of cocaine, or "CC", and the person on the balcony then dropped down to the officer a foil containing what was later analysed and found to be cocaine, weighing variously between 0.15 and 0.18 grams.
4 These four transactions occurred between about 5.00 and 5.40am. At about 5.45am other police officers went up the stairs to the door to Unit 4 and demanded entry. When the door was not opened, they broke through the door, and entered the unit. What happened then was recorded by video and at trial there was little dispute about what happened from the time of entry onwards.
5 The door from the stairwell was secured by two separate locks, as well as by two chains. Police personnel knocked on the door and demanded entry, unsuccessfully. They then attacked the door with a sledgehammer. That attack broke the two locks, and the door opened by about six to eight inches, but the chains held the door in that partly open position for a short time, during which time police personnel saw a man, later identified as the appellant, wearing spectacles, trying to keep the door shut.
6 A short time later, the police succeeded in snapping the chains on the door, and gained entry to the unit. Upon entry, it was found that there were only four people in the unit, namely the appellant and his de facto wife Trang Thi Thuy Pham, and another man Huong Dung Nguy, and his wife Hong Lan Nam. Nguy was seen trying to close the bottom drawer in a chest of drawers, located in what was called the main bedroom, and the appellant was seen near a doorway leading from the main bedroom to the balcony. He was not then wearing his spectacles, and they were later found on the floor, near the door to the stairwell, in a damaged state.
7 There was only one means of access to the balcony, through the doorway leading from the main bedroom. At about the time that the police succeeded in gaining entry to the unit, another police officer who was stationed at ground level saw some unidentified person, seen only in silhouette, go onto to the balcony and throw away, towards the ground, objects which this witness did not identify. The witness saw and heard something thrown from the balcony strike a nearby tree. Later, a search by other police officers at ground level near the area under the balcony resulted in the discovery on the ground of seven foils, found upon analysis to contain cocaine, and a piece of paper, recording as was the fact that on the preceding evening the appellant had attended at the premises of and had been admitted as a temporary member of the Revesby Workers Club.
8 When the police entered the unit, the appellant was wearing a black shirt, and Nguy was wearing white coloured clothing. Nguy did not use spectacles. The police searched the unit and found, in a space underneath the drawer that Nguy had been seen trying to close when the police entered the unit, banknotes worth $2350. Those banknotes included eight notes worth a total of $200, previously photocopied and used by the four undercover police officers to pay for the cocaine that they had purchased. A further $3150 in banknotes was found under the mattress of the bed in what was called the second bedroom.
9 Nguy was the tenant of the unit. It was said, generally, that Nguy and his wife had invited the appellant and his wife into the unit on the evening of 5 September, that the appellant and his wife had stayed overnight, and that the Nguys had moved into the second bedroom for the night, leaving the appellant and his wife to use the main bedroom.
10 Three grounds of appeal were taken. The first was that the learned trial judge, Maguire QC DCJ had erred in failing to adequately warn the jury about the dangers and inadequacies of the descriptions given by the four undercover police officers of the persons who went onto the balcony, and sold cocaine to the officers. It was no part of the appellant's case that the relevant evidence of these four officers was "identification evidence" as defined in the Dictionary to the Evidence Act 1995, or that s 116 of that Act applied, but it was said that s 165 of that Act required the jury to be given the warning mentioned.
11 Section 165 provides, relevantly:
"(1) This section applies to evidence of a kind that may be unreliable, including the following kinds of evidence:
(a) evidence in relation to which Part 3.2 (hearsay evidence) or 3.4 (admissions) applies,
(b) identification evidence,
(c) evidence the reliability of which may be affected by age, ill health (whether physical or mental), injury or the like,
(d) evidence given in a criminal proceeding by a witness, being a witness who might reasonably be supposed to have been criminally concerned in the events giving rise to the proceedings,
(e) ….
(2) If there is a jury and a party so requests, the judge is to:
(a) warn the jury that the evidence may be unreliable, and
(b) inform the jury of matters that may cause it to be unreliable, and
(c) warn the jury of the need for caution in determining whether to accept the evidence and the weight to be given to it.
(3) The judge need not comply with subsection (2) if there are good reasons for not doing so.
(4) It is not necessary that a particular form of words be used in giving the warning or information.
(5) This section does not affect any other power of the judge to give a warning to, or to inform, the jury."
12 The four undercover officers mentioned earlier were identified in the evidence as Damien, Senior Constable Bailey, Sergeant Fawcett and Terry, officers Damien and Terry not being further identified. These four witnesses gave evidence of transactions taking place, respectively, at about 5.00, 5.15, 5.25 and 5.40am. Each of them acted in furtherance of a plan, to the effect that he or she would approach the unit, attract the attention of someone who would come to the balcony, pay $50, and buy a foil of cocaine or "CC". In the first instance, the plan was to attract attention by knocking on a pillar located near the balcony to Unit 4. There were readily available near the pillar a number of hard substances, available to be used for knocking the pillar and making an appropriate noise, and the pillar was marked in a manner suggesting repeated knocking upon it.
13 Damien approached the building at about 5.00am. He took up a piece of brick, with which to knock, but a man of Asian appearance standing nearby told him not to knock, but to whistle. Damien did so, whereupon someone came onto the balcony, and within a short time a transaction of the type I have described took place. Damien described the person on the balcony as being male, approximately 30 to 35 years of age, with short black hair and metallic rimmed spectacles, and wearing a black t-shirt.
14 Senior Constable Bailey approached the site at about 5.15am. She took up a piece of cement block, and tapped on the pillar. She described the person who then appeared on the balcony as being a male wearing dark clothes, who had a bobbed haircut to below his ears.
15 Sergeant Fawcett approached the site at about 5.25. As she did so, she encountered two males, one of whom said to her "Hey love, do you want to go halves?", a proposition he subsequently repeated a number of times, whilst she declined to accept the proposition. She observed some unidentified female conduct what might have been the purchase in the same general manner of some unidentified substance. On this occasion someone came onto the balcony in response to a call "Huong" (perhaps spelt differently). The Sergeant then conducted her transaction and she described the person on the balcony as being an Asian male, about 25 years old, with black straight hair that came down to just below his earlobes, and wearing square shaped metallic rimmed spectacles and dark clothing. The Crown case depended in part upon the transaction conducted by Sergeant Fawcett, but not on the apparent transaction with the unidentified female that the Sergeant observed.
16 The fourth undercover officer, Terry, said that as he approached the site at about 5.40 an Australian male standing nearby called out "Huong, Huong", whereupon someone appeared on the balcony. The Crown case suggested that the person who appeared on the occasion when the witnesses Damien, Bailey and Fawcett conducted their transactions was the appellant, but that the person who appeared on the balcony when the witness Terry conducted his transaction was Nguy. Terry described the person on the balcony then as an Asian male with black hair, wearing a white top.
17 None of the witnesses Damien, Bailey, Fawcett or Terry attempted to identify either of the men they described as having been on the balcony. None of them spoke of having seen the man on the balcony either before or after conducting the transaction described. As already mentioned, the appellant does not contend that there was any need to give the warning mentioned by s 116 of the Evidence Act, but does contend there was a need to give a warning, by force of the operation of s 165.
18 The appellant submitted that the evidence of the four witnesses in question, describing the men whom they saw on the balcony was evidence "central" to the Crown case, whereas the Crown submitted that the evidence was no more than an aspect of a case proved by circumstantial evidence.
19 The learned trial judge directed the jury in these terms: -
"A question arises here of the identity of the person on the balcony. Sometimes in a criminal trial evidence is given of identification. There is no direct evidence here that anybody identified the accused as being the person seen on the balcony by the first three of the undercover officers. They do not say that they identify him. On all the evidence here, it is a matter for you to determine whether you identify him. Whether you decide, whether you are satisfied beyond reasonable doubt that the person seen by the first three undercover officers is indeed the accused Vu, the man who is on trial.
Each of those first three undercover officers gives a description which you might think is not inconsistent with the man that you see here. Some comments have been made by Ms McManus [counsel for the accused], which she is perfectly entitled to do, critical of their evidence. Ms McManus suggested that two only of the three witnesses who see the man, who deal in the first three dealings, mention seeing glasses, spectacles. The other one does not, and I will be going through their evidence shortly. The fact that one of them does not see glasses is not of course, in all the circumstances, conclusive that the man was not wearing glasses. It may well be that he was and that witness just did not have enough light or eyesight or powers of observation were not good enough. But that submission that is put to you is something you will give such weight to as you think fit."
20 Later, his Honour said:
"Now I want to deal with the question of the lighting. Clearly, members of the jury, the lighting was not good. Ms McManus draws your attention to that. Each witness says what he or she saw. Some saw less than others. You might think that there was some lighting. Each of them has said there was some light. Don't speculate on where it was coming from. You have been told about the fluorescent lights under the floor of the balcony. But you are entitled to rely of your own experience of life. You might think that there are very few circumstances in which we find ourselves where there is no light at all around us. Your mother might have said to you that something was black as the inside of a cow, and that of course suggests absolute darkness where even the best eyes cannot see their own hand in front of them, but your experience might tell you that is a very rare circumstance. You will bear in mind Ms McManus' submission. The weight you give to the evidence of these officers, having regard to the difficulty with the lighting is a matter for you."
21 The appellant referred to the Court the judgments of McHugh and Hayne JJ in Festa v The Queen (2001) 208 CLR 600. At [56] - [57] McHugh J said, omitting citations:
"Unfortunately, another class of evidence is sometimes called 'circumstantial identification evidence'. It is evidence that asserts that the general appearance or some characteristic or propensity of the accused is similar to that of the person who committed the crime. It may be evidence of age, race, stature, colour or voice or of a distinctive mark or gait. It differs from positive-identification evidence in that the witness does not claim to recognise the accused as the person who committed the crime or was present in circumstances from which it can be inferred that the accused committed the crime. Although such evidence does not directly implicate the accused in the crime or as being present in incriminating circumstances, it is admissible evidence. It is proof of a circumstance -- usually, but not always, weak -- that with other evidence may point to the accused as the person who committed the crime. It will be weak evidence, for example, when it merely proves that the perpetrator and the accused are persons of the same ethnic background. It may be nearly conclusive evidence of identity when it proves that the accused and the perpetrator have used a unique modus operandi which is admissible in accordance with the principles concerning the admission of similar fact evidence.
When circumstantial identification evidence has no element of positive identification, it usually does not have the potential unreliability of positive-identification evidence. A judge is not automatically required to warn the jury concerning the dangers of circumstantial identification evidence. But the circumstances of a particular case may require a warning. When a witness claims that the facial features of the accused are similar to those of the perpetrator, it would usually be appropriate to give the standard warnings given in cases of positive-identification evidence. But the warnings that must be given to juries concerning positive-identification evidence do not apply to most forms of circumstantial identification evidence."
22 At [217] - [219] Hayne J said, omitting citations
" As the reasons of McHugh J demonstrate, it may sometimes be convenient to distinguish between positive-identification evidence and evidence of similarities between the accused and the perpetrator of the crime. It is, however, important to recognise that evidence which the prosecution relies on, to demonstrate that it was the accused who committed the alleged crime, may take many forms. The convenience of classifying some or all of those different kinds of evidence should not be allowed to obscure the fundamental reasoning that underpinned this Court's decision in Domican v The Queen (1992) 173 CLR 555). In particular, deciding where the boundaries between classes of evidence may lie must not obscure the purpose of what is now commonly called a Domican direction. As was said in the joint judgment in Domican (at 561-562):
'Whatever the defence and however the case is conducted, where evidence as to identification represents any significant part of the proof of guilt of an offence, the judge must warn the jury as to the dangers of convicting on such evidence where its reliability is disputed…. [T]he jury must be instructed "as to the factors which may affect the consideration of [the identification] evidence in the circumstances of the particular case".'
The warning must "isolate and identify for the benefit of the jury any matter of significance which may reasonably be regarded as undermining the reliability of the identification evidence". "The jury must have the benefit of a direction which has the authority of the judge's office behind it." The purpose of the warning is self-evident. It is to draw to the attention of the jury the difficulties in evidence which, because it is so seductive, has so often led to proven miscarriages of justice.