The issue on appeal concerning the finding of sexual intercourse and touching
16 By grounds 1 to 5 of his amended notice of appeal, the appellant contended, in various ways, that it had not been open to the Judge to be satisfied to the requisite degree that the sexual intercourse and sexual touching had occurred and, accordingly, that he had on 15 May 2009 engaged in conduct contravening s 28B(6) of the SD Act. Ground 1 asserted that it had not been open to the Judge to make these findings given that:
(a) [The Judge] had accepted [450] the evidence that some 40 minutes or so "prior to the sexual activity", the respondent experienced nausea, sweatiness, the room expanding and contracting, vomiting and very substantial amnesia;
(b) his Honour had accepted that: "Fragmentary amnesia continued until after midnight and at that time [the respondent] was still feeling foggy, sick and dizzy." [450];
(c) the appellant's response (in the record of interview held on 18 November 2009) to the police, when the latter put to him "Is it possible that you may have penetrated her?", he answered, inter alia, "I-it-you m- , it may have been possible yeah - Possibly" …;
(d) the police did not lay a charge of rape or of any other sexual offence against the appellant in respect of those events; and
(e) the respondent had raised the allegation and bore the onus of proof to prove on the balance of probabilities that the appellant had engaged in sexual intercourse with her on 15 May 2009.
17 By Ground 3, the appellant asserted that the Judge had been in error in concluding at [439] that he had engaged in an "evasive attempt to avoid admitting to police that there had been sexual penetration". By Ground 4, the appellant asserted that it had not been open to the Judge to infer, as he did at [442], that "even if the activity did not include vaginal penetration, it involved Mr Vergara extensively touching and stroking Ms Ewin's breasts and genitalia". Grounds 2 and 5 alleged that, in the light of the matters alleged in Grounds 1, 3 and 4, it had not been open to the Judge to find that the respondent had proved her case.
18 In introducing his submission on these grounds, counsel said that the appellant did "not shrink" from the Judge's findings that the appellant had, in the days prior to 15 May 2009, expressed his desire to have sexual intercourse with the respondent; that in or about the corridor outside the front door of the LLA office, the appellant had been substantially naked and some of the appellant's own clothing had been removed; that the appellant had been sexually aroused and had an erection; that the appellant and the respondent had been in the corridor for approximately 30 minutes to one hour; and that the respondent had reported waking on the morning of 16 May 2009 with physical symptoms consistent with deep penetration of her vagina having occurred.
19 Counsel also accepted that the appellant had made a number of admissions when interviewed by the police on 18 November 2009 of an incriminating kind. These included the appellant's admissions that he could not exclude the possibility that sexual intercourse had occurred; that there was a chance that semen said by the respondent to have been found on her boots could be his; and, although not admitting to ejaculation, his statement that:
It was probably me. I would be surprised if, you know, it was somebody else. I'm saying it's probably me, somehow.
The appellant had also admitted to the police that he and the respondent had engaged in "a lot of … amorous type" activity, described as "carrying on", "consensual sex" and "sexual activity", and that they had been "two animals".
20 Counsel submitted that, despite these matters, it had not been open to the Judge to reach the degree of satisfaction necessary for the findings made in [445] of the reasons, quoted earlier in these reasons.
21 Counsel emphasised the gravity of the finding of sexual intercourse and sexual touching in the context that this conduct was also found to be "unwelcome". He contended that it was tantamount to a finding of rape. Counsel referred to the moral obloquy flowing from the finding, suggesting that it would stigmatise the appellant permanently. In these circumstances, counsel submitted that the Judge had failed to apply appropriately the approach discussed by Dixon J in Briginshaw v Briginshaw (1938) 60 CLR 336 and as required by s 140 of the Evidence Act 1995 (Cth) (Evidence Act), saying:
We contend … that, in spite of what the learned trial judge said in the Reasons at [464], he materially underestimated the impact of the gravity of the matter alleged. That being so, his Honour did not, properly understood, take into account the gravity of the matters alleged, as was his duty under s 140(2)(c) of the Evidence Act 1995 (Cth).
22 This contention was at the heart of the appellant's submissions with respect to the Judge's findings concerning the events of 15 May 2009 and, accordingly, it is appropriate to refer in some detail to the relevant principles.
23 In the well-known passage in Briginshaw at 361-2 (which involved the question of whether adultery had been proved), Dixon J held:
[W]hen the law requires the proof of any fact, the tribunal must feel an actual persuasion of its occurrence or existence before it can be found. It cannot be found as a result of a mere mechanical comparison of probabilities independently of any belief in its reality. No doubt an opinion that a state of facts exists may be held according to indefinite gradations of certainty; and this has led to attempts to define exactly the certainty required by the law for vicarious purposes. … Except upon criminal issues to be proved by the prosecution, it is enough that the affirmative of an allegation is made out to the reasonable satisfaction of the tribunal. But reasonable satisfaction is not a state of mind that is attained or established independently of the nature and consequence of the fact or facts to be proved. The seriousness of an allegation made, the inherent unlikelihood of an occurrence of a given description, or the gravity of the consequences flowing from a particular finding are considerations which must affect the answer to the question whether the issue has been proved to the reasonable satisfaction of the tribunal. In such matters "reasonable satisfaction" should not be produced by inexact proofs, indefinite testimony, or indirect inferences.
(Emphasis added)
As can be seen, Dixon J emphasised that the nature and consequence of the fact to be proved is pertinent to the degree of satisfaction required of the fact finder before concluding that the fact has been proved. Dixon J continued at 362-3:
This does not mean that some standard of persuasion is fixed intermediate between the satisfaction beyond reasonable doubt required upon a criminal inquest and the reasonable satisfaction which in a civil issue may, not must, be based on a preponderance of probability. It means that the nature of the issue necessarily affects the process by which reasonable satisfaction is attained. When, in a civil proceeding, a question arises whether a crime has been committed, the standard of persuasion is, according to the better opinion, the same as upon other civil issues … But, consistently with this opinion, weight is given to the presumption of innocence and exactness of proof is expected.
(Emphasis added)
Similarly, at 347, Latham CJ said:
[T]he ordinary standard of proof in civil matters must be applied to the proof of adultery in divorce proceedings, subject only to the rule of prudence that any tribunal should act with much care and caution before finding that a serious allegation such as that of adultery is established.
The reasons of Rich J at 350 contain a statement to like effect:
In a serious matter like a charge of adultery the satisfaction of a just and prudent mind cannot be produced by slender and exiguous proofs or circumstances pointing with a wavering finger to an affirmative conclusion. The nature of the allegation requires as a matter of common sense and worldly wisdom the careful weighing of testimony, the close examination of facts proved as a basis of inference and a comfortable satisfaction that the tribunal has reached both a correct and just conclusion.
24 Reference may also be made to Neat Holdings Pty Ltd v Karajan Holdings Pty Ltd (1992) 67 ALJR 170 at 171 in which Mason CJ, Brennan, Deane and Gaudron JJ said:
[T]he strength of the evidence necessary to establish a fact or facts on the balance of probabilities may vary according to the nature of what it is sought to prove. Thus, authoritative statements have often been made to the effect that clear or cogent or strict proof is necessary "where so serious a matter as fraud is to be found". Statements to that effect should not, however, be understood as directed to the standard of proof. Rather, they should be understood as merely reflecting a conventional perception that members of our society do not ordinarily engage in fraudulent or criminal conduct and a judicial approach that a court should not lightly make a finding that, on the balance of probabilities, a party to civil litigation has been guilty of such conduct.
(Citations omitted)
Counsel referred also to Morley v Australian Securities and Investments Commission [2010] NSWCA 331 at [735]-[753] and to Seltsam Pty Ltd v McGuiness [2000] NSWCA 29 at [136].
25 The effect of the approach stated in Briginshaw and the later authorities is that the graver the allegations and their potential consequences, the stronger is the evidence required to conclude that the allegations have been established: Ashby v Slipper [2014] FCAFC 15 at [69].
26 Section 140 of the Evidence Act provides:
140 Civil proceedings: standard of proof
(1) In a civil proceeding, the court must find the case of a party proved if it is satisfied that the case has been proved on the balance of probabilities.
(2) Without limiting the matters that the court may take into account in deciding whether it is so satisfied, it is to take into account:
(a) the nature of the cause of action or defence; and
(b) the nature of the subject-matter of the proceeding; and
(c) the gravity of the matters alleged.
It has been held that s 140(2) reflects the common law as stated in Briginshaw and as applied in the later authorities: Morley v ASIC [2010] NSWCA 331 at [737]; Communications, Electrical, Electronic, Energy, Information, Postal, Plumbing and Allied Services Union of Australia v Australian Competition and Consumer Commission [2007] FCAFC 132 at [30]; (2007) 162 FCR 466 at 480; Ashby v Slipper [2014] FCAFC 15 at [71].
27 The Judge in the present case did not overlook these authorities, nor the content of s 140. He referred (at [90]-[93] and [464]) to s 140(2) of the Evidence Act and (at [95]) to the passage in the reasons in Neat Holdings quoted above.
28 The Judge concluded his findings with respect to the events of 15 May 2009 by saying (at [464]):
My satisfaction that Ms Ewin proved her case on the balance of probabilities included consideration of the matters specified by s 140(2) of the Evidence Act. I regarded the gravity of the conduct alleged as very serious. A high degree of moral opprobrium attaches to conduct of the kind alleged, although not nearly so much as would have attached to a rape or a serious sexual assault which involves an intent to rape or assault as a necessary element of the offence. Having regard to the seriousness of the conduct involved, I was satisfied that the strength of the evidence was sufficient to establish, on the balance of probabilities, that Ms Ewin had proved her case.
This is a clear indication that the Judge was conscious of the gravity of the appellant's allegations and of the need for cogent evidence before he found those allegations proved.
29 Counsel for the appellant contended that, whilst the Judge had referred to s 140(2) and to Neat Holdings and therefore to the requirement for cogent proof of the respondent's serious allegations, he had not in fact applied such an approach. Counsel relied on the following matters:
(a) The respondent, who was on the Judge's finding (at [453]) heavily intoxicated at the time of the incident she alleged, had no recollection of it and could give no direct evidence about it. The appellant submitted that the Judge, while finding that the respondent had no recollection of the incident, failed to address the significance of that finding. The Judge should, it was said, have regarded the respondent's absence of recollection as "a fatal weakness" to her claim which, in the absence of an "unequivocal admission" by the appellant that sexual intercourse had occurred, "compelled" the conclusion that the allegation be dismissed;
(b) The appellant had made no clear admission that he had engaged in sexual intercourse with the respondent;
(c) The rejection of the appellant's evidence could not be regarded as positive proof that intercourse had occurred. Disbelief in a witness' evidence does not ordinarily establish the contrary: Kuligowski v Metrobus [2004] HCA 34 at [60]; (2004) 220 CLR 363 at 385. The Judge had in any event been in error in characterising the appellant's responses when interviewed by the police as "an evasive attempt to avoid admitting to police that there had been sexual penetration";
(d) Although the matter had been reported to the police, they had not laid any charge of rape or other sexual offence against the appellant;
(e) The evidence to support a finding of sexual intercourse or sexual touching of Ms Ewin's breasts and genitalia was "weak".