Monthly Archives: August 2018

[Fundamentals] Lee Kwong-Kut

Hong Kong – Bill of Rights – Presumption of innocence – Statutory provision creating offence imposing burden on defendant – Whether inconsistent with presumption of innocence – Whether repealed – Summary Offences Ordinance (Laws of Hong Kong, 1989 rev., c. 228), s. 30 – Drug Trafficking (Recovery of Proceeds) Ordinance (Laws of Hong Kong, 1989 rev., c. 405), s. 25(1)(4)(a)(b) – Hong Kong Bill of Rights Ordinance 1991 (Laws of Hong Kong, c. 383), ss. 3(2), 8, art. 11(1)

The Hong Kong Bill of Rights Ordinance 1991 came into operation on 8 June 1991. Section 3(2) provided that all pre-existing legislation that did not admit of a construction consistent with the Ordinance was to the extent of the inconsistency repealed. Section 8

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contained the Hong Kong Bill of Rights, article 11(1) of which provided: “Everyone charged with a criminal offence shall have the right to be presumed innocent until proved guilty according to law.”

The defendant in the first appeal was charged on an information preferred under section 30 of the Summary Offences Ordinance1 that on 17 November 1990 he had in his possession cash reasonably suspected of having been stolen or unlawfully obtained. In September 1991 he appeared before a magistrate, who dismissed the information, holding that section 30 was inconsistent with article 11(1) of the Bill of Rights Ordinance 1991 and had therefore been repealed by section 3(2). The Attorney-General appealed to the High Court and the judge reserved the appeal to the Court of Appeal, which upheld the magistrate’s decision.

The defendants in the second appeal were each charged on indictment with one count of assisting another to retain the benefit of drug trafficking, contrary to section 25(1)(a) of the Drug Trafficking (Recovery of Proceeds) Ordinance.2 The judge in the High Court ruled that section 25(1) and section 25(4)(a)(b) had been repealed by section 3(2) of the Ordinance of 1991 since they were inconsistent with article 11(1), and he quashed the indictment.

On the Attorney-General’s appeals to the Judicial Committee against the judgment of the Court of Appeal and the order of the High Court: –

Held, (1) that exceptions from strict application of the fundamental rule that throughout a trial the burden was on the prosecution to prove the guilt of the defendant beyond reasonable doubt were permissible provided that the responsibility for showing the guilt of the defendant remained primarily that of the prosecution; and that a provision under which the prosecution had to prove to the requisite standard the important elements of the offence as identified from the substance and reality of the statutory language, but an onus was reasonably imposed on the defendant to establish a proviso or exemption or similar matter, would not infringe the right conferred by article 11(1) to be presumed innocent until proved guilty according to law (post, pp. 969DF-970A972F-G).

Dicta of Viscount Sankey L.C. in Woolmington v. Director of Public Prosecutions [1935] A.C. 462, 481, H.L.(E.) and of Lawton L.J. in Reg. v. Edwards [1975] Q.B. 27, 39-40, C.A. considered.

(2) Dismissing the first appeal, that on a charge under the Summary Offences Ordinance the defendant’s inability to give a satisfactory explanation as to how he came to be in possession of the property in question was not a special defence but the most important element of the offence under section 30 of the Summary Offences Ordinance; and that since the burden onthe prosecution was thereby reduced to proving matters which were likely, in the majority of cases, to be merely formal, the section unjustifiably contravened article 11(1) and had been repealed by section 3(2) of the Ordinance of 1991; that the presumption ofFootnote

1     Summary Offences Ordinance, s. 30: see post, pp. 960H-961A.Footnote

2     Drug Trafficking (Recovery of Proceeds) Ordinance, s. 25(1)(4): see post, pp. 963C-E, H-964B.

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innocence had been established by article 11(1) on the date on which the Ordinance of 1991 had come into operation and applied in any subsequent trial irrespective of the date on which the alleged offence was committed; and that, accordingly, the information preferred against the defendant in the first appeal had properly been dismissed (post, pp. 961H-962B973B-CG974A-B975D).

(3) Allowing the second appeal, that the essential ingredients of the offence under section 25(1)(a) of the Drug Trafficking (Recovery of Proceeds) Ordinance were those contained in that subsection, whereby the burden was on the prosecution to prove that the defendant had been involved in an arrangement relating to another person’s proceeds of drug trafficking knowing or having reasonable grounds to believe that person was connected with drug trafficking; that although subsection (4) prescribed special defences which the defendant had to prove on a balance of probabilities, such an onus on the defendant was justifiable in the context of the war against drug trafficking; and that, accordingly, neither section 25(1) nor 25(4) infringed article 11(1), and since both subsections remained in force the judge’s order quashing the indictment would be set aside (post, pp. 964E-F973D-FG975E).

Reg. v. Colle (1991) 95 Cr.App.R. 67, C.A. applied.

Decision of the Court of Appeal of Hong Kong [1992] 2 H.K.C.L.R. 76 affirmed.

Decision of the High Court of Hong Kong reversed.

The following cases are referred to in the judgment of their Lordships:

Attorney-General v. Chiu Man-lun [1989] 1 H.K.L.R. 99

Attorney-General v. Lo Man-cheuk [1980] H.K.L.R. 687

Attorney-General of The Gambia v. Momodou Jobe [1984] A.C. 689; [1984] 3 W.L.R. 174, P.C.

Hadley v. Perks (1866) L.R. 1 Q.B. 444

Leary v. United States (1969) 23 L.Ed. 2d 57

Minister of Home Affairs v. Fisher [1980] A.C. 319; [1979] 2 W.L.R. 889; [1979] 3 All E.R. 21, P.C.

Mok Wei Tak v. The Queen [1990] 2 A.C. 333; [1990] 2 W.L.R. 898, P.C.

Patterson v. State of New York (1977) 53 L.Ed. 2d 281

Reg. v. Appleby (1971) 21 D.L.R. (3d) 325

Reg. v. Chaulk (1990) 62 C.C.C. (3d) 193

Reg. v. Colle (1991) 95 Cr.App.R. 67, C.A.

Reg. v. Downey (1992) 90 D.L.R. (4th) 449

Reg. v. Edwards [1975] Q.B. 27; [1974] 3 W.L.R. 285; [1974] 2 All E.R. 1085, C.A.

Reg. v. Holmes (1988) 50 D.L.R. (4th) 680

Reg. v. Hunt (Richard) [1987] A.C. 352; [1986] 3 W.L.R. 1115; [1987] 1 All E.R. 1, H.L.(E.)

Reg. v. Oakes (1986) 26 D.L.R. (4th) 200

Reg. v. Sin Yau-ming [1992] 1 H.K.C.L.R. 127

Reg. v. Whyte (1988) 51 D.L.R. (4th) 481

Salabiaku v. France (1988) 13 E.H.R.R. 379

Woolmington v. Director of Public Prosecutions [1935] A.C. 462, H.L.(E.)

The following additional cases were cited in argument:

Director of Public Prosecutions v. Hutchinson [1990] 2 A.C. 783; [1990] 3 W.L.R. 196; [1990] 2 All E.R. 836, H.L.(E.)

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Hunter v. Southam Inc. (1984) 11 D.L.R. (4th) 641

Lingens v. Austria, 11 December 1981, Application No. 8803/79, 26 D. &. R. 171

Martin v. Ohio (1987) 94 L.Ed. 2d 267

Mullaney v. Wilbur (1975) 44 L.Ed. 2d 508

Ong Ah Chuan v. Public Prosecutor [1981] A.C. 648; [1980] 3 W.L.R. 855, P.C.

Pham Hoang v. France (unreported), 25 September 1992, E.C.H.R.

Reg. v. Governor of Pentonville Prison, Ex parte Chinoy [1992] 1 All E.R. 317, D.C.

Reg. v. Ireco Canada II Inc. (1988) 43 C.C.C. (3d) 482

Reg. v. Richards [1992] 2 All E.R. 572, C.A.

Reg. v. Schwartz (1988) 55 D.L.R. (4th) 1

Reg. v. Wholesale Travel Group Inc. (1991) 84 D.L.R. (4th) 161

Ulster County Court v. Allen (1979) 60 L.Ed. 2d 777

Winship, In re (1970) 25 L.Ed. 2d 368

APPEALS (Nos. 59 and 60 of 1992) with special leave by the Attorney-General of Hong Kong from the judgment of the Court of Appeal of Hong Kong [1992] 2 H.K.C.L.R. 76 (Cons Acting C.J., Kempster J.A. and Bokhary J.) given on 18 June 1992 dismissing the Attorney-General’s appeal from the dismissal on 2 September 1991 by a permanent magistrate (Mr. J. L. Acton-Bond) of an information preferred against the first defendant, Lee Kwong-kut under section 30 of the Summary Offences Ordinance; and by the Attorney-General of Hong Kong from the order of Gall J. on 4 August 1992 in the High Court of Hong Kong quashing an indictment against the second defendants, Lo Chak-man and Tsoi Sau-ngai, charging each with one count of assisting another to retain the benefit of drug trafficking, contrary to section 25(1)(a) of the Drug Trafficking (Recovery of Proceeds) Ordinance.

The facts are stated in the judgment of their Lordships.

Nicolas Bratza Q.C. and Steven Bailey, Senior Assistant Crown Prosecutor, Hong Kong, for the Attorney-General. The presumption of innocence is directed at the burden and standard of proof which rests on the prosecution in criminal proceedings to establish the essential elements of the offence. The presumption does not prevent the legislature from creating statutory defences or require the Crown to justify them, and is not violated where, as in section 30 of the Summary Offences Ordinance and section 25 of the Drug Trafficking (Recovery of Proceeds) Ordinance, the legislature has laid down elements of the offence and a defence which the defendant has to prove on a balance of probabilities.

The correct approach to the Hong Kong Bill of Rights Ordinance 1991 was stated by Silke V.-P. in Reg. v. Sin Yau-ming [1992] 1 H.K.C.L.R. 127, 137-142. The provisions of article 11(1) are virtually identical to those of article 14(2) of the International Covenant on Civil and Political Rights, article 6(2) of the European Convention for the Protection of Human Rights and Fundamental Freedoms (1953) (Cmd. 8969) and section 11(d) of the Canadian Charter of Rights and Freedoms. There is no such provision in the Constitution of the United States but the requirement that a person should not be deprived of life,

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liberty or property without due process of law embraces the right to be presumed innocent until proved guilty beyond reasonable doubt.

The meaning of the presumption of innocence was stated by Viscount Sankey L.C. in Woolmington v. Director of Public Prosecutions [1935] A.C. 462, 480-482. The presumption involves two principles. (1) The prosecution bears the burden of proving the essential ingredients of the offence charged and there is no onus on the defendant to disprove any of them. (2) The standard by which the defendant’s guilt of the offence must be established is proof beyond reasonable doubt. The duty of the prosecution to prove the defendant guilty is subject to any statutory exceptions, such as that reflected in Hong Kong in section 94A of the Criminal Procedure Ordinance (Laws of Hong Kong, 1988 rev., c. 221) and in England in section 101 of the Magistrates’ Courts Act 1980 (formerly section 81 of the Magistrates’ Courts Act 1952), whereby the burden of proving the exception is on the defendant. [Reference was made to Reg. v. Edwards [1975] Q.B. 27Reg. v. Hunt (Richard) [1987] A.C. 352Ong Ah Chuan v. Public Prosecutor [1981] A.C. 648Salabiaku v. France (1988) 13 E.H.R.R. 379; Reg. v. Sin Yau-ming [1992] 1 H.K.C.L.R. 127; Reg. v. Holmes(1988) 50 D.L.R. (4th) 680; Reg. v. Schwartz (1988) 55 D.L.R. (4th) 1; Lingens v. Austria, 11 December 1981, Application No. 8803/79, 26 D. & R. 171; Patterson v. State of New York (1977) 53 L.Ed. 2d 281 and Martin v. Ohio (1987) 94 L.Ed. 2d 267.] In Reg. v. Whyte (1988) 51 D.L.R. (4th) 481 the Supreme Court of Canada adopted a much wider formulation of principle than that in Reg. v. Oakes (1986) 26 D.L.R. (4th) 200, holding that the distinction between essential elements of the offence and other aspects of the charge was irrelevant to an inquiry under section 11(d) of the Canadian Charter and that the exact characterisation of a factor as an essential element, a collateral factor, an excuse, or a defence should not affect the analysis of the presumption of innocence. Although this broad statement of principle has been followed and applied in Canada, it does not correctly represent the scope and effect of the presumption of innocence and should not be followed in Hong Kong. The provisions of article 11(1) of the Hong Kong Bill and of the equivalent articles of the International Covenant and the European Convention, being essentially procedural in nature, are not concerned to control or restrict the substantive content of the criminal law: in principle the legislature remains free, consistently with the requirements of the presumption of innocence, to prohibit particular acts by means of the criminal law and to define the constituent elements of the resulting offence.

Section 30 of the Summary Offences Ordinance contains no implicit mental element of dishonesty and no presumption that the property was obtained dishonestly. The prosecution must prove possession of the property by the defendant and that the circumstances, viewed objectively, raise a suspicion in the mind of a reasonable man that the property was stolen. There can be no conviction unless the defendant has failed to give a satisfactory account of how the property came into his possession, but such failure is not an essential element of the offence. [Reference was made to Attorney-General v. Lo Man-cheuk [1980] H.K.L.R. 687 and Mok Wei Tak v. The Queen[1990] 2 A.C. 333.] Giving a satisfactory account is a statutory defence, and so the imposition of a burden on a

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defendant to provide an explanation does not offend the presumption of innocence.

The defendant’s alleged offence was committed before the Ordinance of 1991 came into force. Even if section 30 of the Summary Offences Ordinance was repealed by section 3(2) of the Ordinance of 1991 such repeal has no effect on the prosecution of the defendant, and the information against him should not have been dismissed by the magistrate. [Reference was made to sections 2 and 23 of the Interpretation and General Clauses Ordinance (Laws of Hong Kong, 1989 rev., c. 1).]

In relation to section 25(1) of the Drug Trafficking (Recovery of Proceeds) Ordinance, the prosecution does not have to prove knowledge or suspicion that the moneys were the proceeds of drug trafficking; nor does subsection (4) raise a presumption of such knowledge which must be rebutted by the accused. The legislature in subsection (4)(a) has provided that it is a defence to the offence in subsection (1) if the accused can show on a balance of probabilities that he neither knew nor suspected that the arrangement related to the proceeds of drug trafficking. [Reference was made to Reg. v. Colle (1991) 95 Cr.App.R. 67.]

The principle laid down in Reg. v. Oakes, 26 D.L.R. (4th) 200, was expanded and explained in Reg. v. Chaulk (1990) 62 C.C.C. (3d) 193 and Reg. v. Downey (1992) 90 D.L.R. (4th) 449. The judge erred in holding that the onus placed on the defendants by section 25(4) was neither rationally justifiable nor proportionate. He paid insufficient attention to the legislature’s object in imposing that burden. Section 25 is aimed at those who assist drug traffickers to retain the benefit of their trafficking. Subsection (3) is designed to encourage disclosure to the authorities, and subsection (4) is intended to be an added incentive to make disclosure. There is nothing to suggest that the legislature’s choice of means to achieve its objective was arbitrary, or that the objective could have been achieved as effectively by adopting alternative means. Four factors are relied on in relation to proportionality: (i) before an obligation is imposed on an accused the prosecution must establish beyond reasonable doubt all the matters specified in section 25(1); (ii) subsection (3) provides protection for those who become involved in money laundering transactions; (iii) the matters which an accused is required to prove under subsection (4) are within his own knowledge and the proof is on a balance of probabilities, and (iv) the importance of the interest of society is clear and there is nothing unfair or improper in the provisions of section 25. Subsection (4) does not impose a particularly onerous burden on an accused or one disproportionate to the objective intended by the legislature. Alternatively, the judge was not entitled to hold that section 25(1) and (4)(a) and (b) had been repealed. The only inconsistency with article 11(1) is in the words “to prove” in subsection (4), and if those words were removed an accused would no longer have a legal or persuasive burden of establishing a defence under subsection (4), but would merely have an evidential burden of raising the issue, and that would not contravene article 11(1). Such limited repeal would be permissible: see Reg. v. Ireco Canada II Inc. (1988) 43 C.C.C. (3d) 482.

G. J. X. McCoy and Keith Oderberg (both of the English and Hong Kong Bars), for the defendant Lee Kwong-kut, were not called upon.

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[23 March. LORD KEITH OF KINKEL. Their Lordships will advise that the first appeal should be dismissed for reasons to be delivered later.]

Alan Hoo Q.C. and Kevin Chan (both of the English and Hong Kong Bars) for the defendant Lo Chak-man. A provision had to be implied into the Hong Kong Bill enabling any breaches to be justified. On the Canadian approach to an equivalent statute, the first question would be to ask whether there has been an infringement of article 11(1) of the Hong Kong Bill and if so whether it can be justified: see Reg. v. Oakes, 26 D.L.R. (4th) 200. On the approach of the European Court of Human Rights and the European Commission, the only question the court has to decide is whether there has been an infringement, although a margin of limitation is built into that question, and it is unnecessary to deal with justification on a case by case basis because the right itself is confined within reasonable parameters: see Salabiaku v. France, 13 E.H.R.R. 379. [Reference was made to section 1 of the Canadian Charter of Rights and Freedoms and articles 6(2), 7(1)(2) and 10(2) of the European Convention for the Protection of Human Rights and Fundamental Freedoms.] On the European approach, presumptions of fact or of law must be confined within reasonable limits, and a presumption which involves an essential ingredient of an offence or an inculpatory factor can never fall within those reasonable limits; but if the presumption involves an exculpatory factor then the boundaries will not be exceeded if the provision strikes a proper balance between the needs of society and the fair trial of a defendant. [Reference was made to Salabiaku v. France, 13 E.H.R.R. 379 and Lingens v. Austria, 11 December 1981.]

Article 11(1) underpins the whole concept of a fair trial. It provides that guilt can only be established where (1) the elements constituting the offence have been proved by the prosecution; (2) there is no exculpating factor established by the defendant, and (3) no possibility of a reasonable doubt in respect of guilt exists. [Reference was made to Reg. v. Holmes, 50 D.L.R. (4th) 680 and Mok Wei Tak v. The Queen [1990] 2 A.C. 333.] There are two limbs to the protection afforded under article 11(1). The first is the right to be presumed innocent, which at the trial stage means that the burden of proving the guilt of the accused should lie on the prosecution. The second limb provides that the presumption of innocence continues until the accused is proved guilty according to law, that is, until the requisite standard of proof has been discharged by the prosecution in the trial process. The decision in Reg. v. Whyte, 51 D.L.R. (4th) 481 is anchored on this premise in its analysis of a criminal provision.

Where a factor is an essential element in a criminal offence any reversal of the onus of proof (the persuasive burden) in relation to that factor is a breach of article 11(1). Furthermore, if a criminal provision allows a conviction when the requisite standard of proof (i.e., proof beyond reasonable doubt) has not been satisfied then that provision is also a breach of article 11(1), whether or not the provision concerns a reverse onus situation or statutory defence or excuse situation. The legislature intended the offence under section 25 of the Drug Trafficking (Recovery of Proceeds) Ordinance to apply to those who knew or had reasonable grounds to believe they were assisting in facilitating the

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retention or control by a drug trafficker of his proceeds from drug trafficking. Such knowledge is an essential element of the offence. [Reference was made to Reg. v. Governor of Pentonville Prison, Ex parte Chinoy [1992] 1 All E.R. 317; Reg. v. Colle, 95 Cr.App.R. 67; Patterson v. State of New York, 53 L.Ed.2d 281 and Mullaney v. Wilbur (1975) 44 L.Ed. 2d 508.] If section 25 infringes article 11(1), merely to excise the words “to prove” from section 25(4) would not be an effective remedy. The court should be slow to excise words from a statute, for to do so may be to build into the statute something which is contrary to the legislative intention. The responsibility of the court is to strike down legislation which is inconsistent with article 11(1). Any further remedy is for the legislature to determine. [Reference was made to Hunter v. Southam Inc. (1984) 11 D.L.R. (4th) 641.]

Martin Thomas Q.C. and Philip Dykes (of the English and Hong Kong Bars) for the defendant Tsoi Sau-ngai. The Hong Kong Bill should be given as generous and purposive a construction as possible: see Minister of Home Affairs v. Fisher [1980] A.C. 319, 329, per Lord Wilberforce and Attorney-General of The Gambia v. Momodou Jobe [1984] A.C. 689, 700, per Lord Diplock. The problem is the extent to which the individual rights and freedoms guaranteed by the Hong Kong Bill may be limited by the legislature in the interests of society as a whole.

The provisions of the International Covenant on Civil and Political Rights have been incorporated into the law of Hong Kong. [Reference was made to article VII(3) of the Hong Kong Letters Patent 1991 (No. 2), L.N. 226 of 1991; the Joint Declaration of the Government of the United Kingdom of Great Britain and Northern Ireland and the Government of the People’s Republic of China on the Question of Hong Kong (1985) U.K.T.S. No. 26 (Cmnd. 9543), and article 39 of The Basic Law of the Hong Kong Special Administrative Region of the People’s Republic of China (1990) 29 I.L.M. 1511.] The legislature must have envisaged the likelihood of existing statutory provisions in Hong Kong being inconsistent with the Ordinance of 1991, which repeals such provisions and sets the standard for future legislation.

The European jurisprudence is less well developed in these areas than that of the United States and Canada. In Hong Kong decisions as to the constitutionality of a statutory provision are made at every level, and so clear principles should be set out which every court can apply. The Ordinance of 1991 was drafted with the experience of the Canadian Charter of Rights and Freedoms in mind and there are similarities between them. The approach in Reg. v. Whyte, 51 D.L.R. (4th) 481 should be applied in Hong Kong. Whenever a burden of proof is placed on a defendant, so that he may be convicted even though there is reasonable doubt of his guilt, the presumption of innocence is contravened. A jury may be unsure whether a defendant has established, on a balance of probabilities, a statutory defence and thus convict him despite the presumption of innocence. [Reference was made to Leary v. United States (1969) 23 L.Ed. 2d 57; Reg. v. Downey, 90 D.L.R. (4th) 449; Ulster County Court v. Allen (1979) 60 L.Ed. 2d 777; In re Winship (1970) 25 L.Ed. 2d 368; Reg. v. Oakes, 26 D.L.R. (4th) 200; Mok Wei Tak v. The Queen[1990] 2 A.C. 333Salabiaku v. France, 13 E.H.R.R.

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379; Ong Ah Chuan v. Public Prosecutor [1981] A.C. 648Reg. v. Whyte, 51 D.L.R. (4th) 481 and Reg. v. Sin Yau-ming [1992] 1 H.K.C.L.R. 127.] The question is whether a particular provision limits the guarantee afforded by the presumption of innocence, and, if so, whether that limitation is acceptable. The court must weigh the limitation of the guaranteed right against the social benefit which the limiting provision seeks to attain.

The judge applied the proper tests and reached the correct conclusion. The Crown failed to show that the laundering of drug money by third parties was a serious problem in Hong Kong. The Drug Trafficking (Recovery of Proceeds) Ordinance is concerned with the tracing, confiscation and recovery of the proceeds of drug trafficking. The particular offence in section 25 is only a minor part of the Ordinance. The judge recognised the importance of the presumption of innocence and that section 25(1) and (4) was potentially a serious breach of it. He was entitled to hold that the Crown had not proved that those provisions could be justified.

Difficulties would arise if only subsection (4)(a) and (b) or the words “to prove” are excised. To delete the words “to prove” from subsection (4) would alter the nature of the offence under subsection (1). As to textual severability, see Director of Public Prosecutions v. Hutchinson [1990] 2 A.C. 783.

Dykes following. Article 2 of the International Covenant on Civil and Political Rights imposes an obligation on states which are parties to the Covenant to respect the rights set forth therein and to ensure that they are implemented, although each state is given a discretion to decide how to do so. In 1991 the Covenant became part of the domestic law of Hong Kong.

The effect on other rights has to be taken into account when considering the imposition of limitations on the presumption of innocence in article 11(1) of the Hong Kong Bill. [Reference was made to Reg. v. Wholesale Travel Group Inc. (1991) 84 D.L.R. (4th) 161.]

If, in order to convict a defendant under section 25 of the Drug Trafficking (Recovery of Proceeds) Ordinance it is not necessary for the prosecution to prove that he knew that the proceeds were related to drug trafficking, it is anomalous that the prosecution in seeking a confiscation order should then have to establish that the defendant knew that moneys received were received in connection with drug trafficking: see Reg. v. Richards [1992] 2 All E.R. 572. The Drug Trafficking (Recovery of Proceeds) Ordinance was modelled on the United Kingdom Drug Trafficking Act 1986.

Bratza Q.C. in reply. The courts regularly have to identify what the essential elements of an offence are and in most cases there is no difficulty. In Salabiaku v. France, 13 E.H.R.R. 379, the European Court of Human Rights was not dealing with an exculpatory provision. It is incorrect to suggest that under the European system the imposition of a burden of a defendant is only justifiable if the imposition relates to exculpatory factors. [Reference was also made to Pham Hoang v. France (unreported), 25 September 1992.]

Great weight should be given to the views of the local legislature. It was unnecessary for the Crown to adduce evidence to show why section

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25 of the Drug Trafficking (Recovery of Proceeds) Ordinance was framed as it was since that was plain from the legislation itself.



Solicitors: Macfarlanes; Phillips & Co.; Kennedys; Philip Conway Thomas.

S. S

R v Manunta [Jury Direction]

R v Manunta

HEADNOTE 

Supreme Court of South AustraliaIn Banco

R v Manunta

20 June 1989;

28 July 1989

Criminal — Procedure — Failure of defence counsel to cross-examine prosecution witnesses as to matters deposed to by accused and/or defence witness — Rule in Browne v Dunn

Three police officers raided a workshop which was leased by the appellant and in which he operated a motor mechanical business. They testified that as they drove the police car into a driveway leading to the workshop they observed the appellant who was then standing just outside the open roller door entrance to look at the police car and then run into the workshop. The first two police officers out of the car stated that they saw the appellant coming back into the workshop through a personnel door” which led to a rubbish dump area outside of the workshop. The last police officer out of the car stated that he saw the appellant walking back towards the front of the workshop but did not see where he came from. A plastic bag in the rubbish area was found to contain amphetamine and other drugs were found inside the workshop. The lining of the left pocket of the jeans of the appellant was seen to be inside out and hanging out of the jeans. The appellant denied all knowledge of the drugs and gave evidence that a man named Wally (whose information to the police led to the raid) had had access to the workshop earlier in the week when the appellant was not present and may have planted the drugs and informed the police to curry favour and obtain leniency with respect to drug offences in which he was involved. The appellant denied that he had run when he saw the police car and said that he had been in conversation with one Aldous at the roller door entrance when the phone rang and had gone to the workshop to answer it after which he had walked back towards the roller door and only then saw the police officers for the first time.

During the cross-examination of the appellant he was asked whether he had been given the opportunity to read and sign the notes of police officer Davies and he then said that he thought that the notes which Davies had made on the day were made in a note pad or small book rather than in the form produced to him in the witness box. This suggestion had not been put to the police in cross-examination or by the appellant in examination-in-chief.

The effect of the evidence of Aldous who was called by the appellant was that he had indicated to the police officers when they approached him that the appellant had just gone in the direction of the telephone. This was directly contrary to the police evidence that the appellant emerged from the personnel door” but this contradiction had not been put to the police during cross-examination.

Aldous also stated that at the time of the arrival of the police officers he and the appellant were together in conversation at the roller door and this too had not been put to the police in cross-examination.

The learned trial judge directed the jury that the above matters were three aspects of the evidence of the appellant and the witness Aldous that may have some bearing on the jury’s consideration of the case. His Honour directed the jury as to a rule of practice and the inferences that were open to the jury in the present case in the terms that appear in the judgment of King CJ and it was argued on appeal that the trial judge had erred in giving those directions.

Held: (per King CJ, Legoe and Bollen JJ concurring) The argument put by the Crown that the items of evidence referred to were untruths or embellishments put forward to serve the appellant’s interests was legitimately open for the consideration of the jury.

The cogency of the point in the present case may be questioned since although it is legitimate to draw appropriate conclusions from counsel’s failure to cross-examine on matters to which his client or his witnesses subsequently deposed, it is a process of reasoning which is fraught with peril and should therefore be used only with much caution and circumspection. There may be many explanations of the omission which do not reflect upon the credibility of the witnesses which may include counsel misunderstanding his instructions, witnesses not having been fully co-operative in providing statements, forensic pressures having resulted in looseness or inexactitude in the framing of questions or the simple overlooking of the matter. Consequently where such an argument is to be left to the jury then there should generally be directions as to these sorts of factors. However, in the present case such matters were explained to the jury and the appellant had not demonstrated appealable error.

The appeal against the sentence of imprisonment for two years and nine months for possession of amphetamine for sale and three years and six months for possession of cocaine for sale to be served concurrently with a non-parole period of two years and six months would be dismissed. The sentences and non-parole period were moderate and the complaint that the judge had refused to suspend the sentences could not be sustained in view of the fact that present offences were by no means venial examples of possession for sale, the kind of offence in relation to which punishment and deterrence must be the dominant considerations.

Appeal to the court of criminal appeal

S W Tilmouth QC and A P Strappazzon, for the appellant.

W C Chivell, for the Crown.

JUDGMENT 

Cur adv vult

28 July 1989

King CJ.

The appellant was found guilty by a jury in the Supreme Court of the crimes of possessing amphetamine for sale and of possessing cocaine for sale. He has appealed to this Court against the convictions.

On 29 May 1987, the police raided a workshop situated at Grange Road, Flinders Park, which was leased by the appellant and in which he operated a motor mechanical business. Three police officers were involved in the raid and each gave evidence. Their evidence was that as they drove the police car into a driveway leading to the workshop, they observed the appellant, who was standing just outside the open roller door entrance to the workshop, to look at the police car and then run into the workshop. The police car pulled up in front of the roller door entrance. The first two police officers to get out of the car gave evidence that they saw the appellant coming back into the workshop through a personnel door” which leads to a rubbish dump area on the southern side of the workshop. The other police officer, who was the last out of the police car, saw the appellant walking back towards the front of the workshop but did not see where he came from. The police officers saw another man in the vicinity. He was undoubtedly a man by the name of Aldous who was called as a witness for the defence. The police officers gave evidence that when they saw the appellant in the workshop the lining of the left pocket of his jeans was inside-out and hanging out of the jeans. The police found a plastic bag in the rubbish area near the back fence and that bag was found to contain 27.5g of white powder of which 1.754g was pure amphetamine. The police found in a brake fluid container in the workshop seven plastic bags and a plastic bullet all containing white powder to a total of 26g of which 4.982g was pure cocaine with a small amount of amphetamine powder. A plastic bag was found in a radiator hose in the workshop and it contained about 10g of powder of which .699g was pure amphetamine. The appellant denied all knowledge of the drugs.

The appellant gave evidence in his own defence. He repeated the denial which he had made to the police of any knowledge of the drugs. He gave evidence that a man named Wally, whose information to the police led to the raid, had had access to the workshop earlier in the week at a time when the appellant was not present. The theory advanced by the defence was that Wally had planted the drugs and informed the police, probably motivated by the desire to curry favour and obtain leniency with respect to drug offences in which he was involved. The appellant denied that he ran when he saw the police car. He said that he had been in conversation with Aldous at the roller door entrance when the phone rang. He had gone into the workshop to answer the phone and at that time had not seen the police. He said that after he had finished on the phone he walked back towards the roller door and then saw the police officers for the first time. Aldous gave evidence confirming that while he was in conversation with the appellant at the roller door entrance, the telephone rang and the appellant went to answer it. Aldous said that the police arrived while the appellant was on the telephone. In the examination-in-chief the following two questions and answers occurred:

Q. What did you see him do? A. He went over and picked up the phone and then I was looking at the people coming down the driveway and they got out of the car in a bit of a hurry and I looked back and he was just hanging up on the telephone and they came running inside and the first thing they said to me, where did he go, where did he go’ and I pointed them in the direction of the telephone. …

Q. What happened from there? Tell us not what was said but who did what. A. The police came in and sort of they went to all sections of the workshop and they were asking me exactly where did he go. I said he just went over by the telephone, that’s where he was’.”

The sole point taken on the appeal is that the learned judge erred in directions which he gave to jury as to inferences which might be drawn from the failure of counsel for the defence to cross-examine the police witnesses as to certain matters. I quote in full a passage in the summing up in which his Honour dealt with these matters:

Ladies and gentlemen, there are three aspects of the evidence of Mr Manunta and his witness, Mr Aldous that may have some bearing on your consideration of the case for the Crown and your assessment of the case for the defence. First, there is the allegation by Mr Manunta that the notes used by Mr Davies during the trial and adopted by Eckert and Van Meeteren, such notes made by Davies on 29 May 1987, were not in fact the notes made by Davies on that day. The defendant said before you that the notes made by Davies were made in a notebook or a smaller written page. Secondly, there is the evidence of Mr Aldous that one of the police officers said to him, Where did he go, where did he go?’ and that Aldous’ reply was He went over there to the phone’. The third matter is somewhat more involved, and I will return to it shortly. The suggestion by Mr Manunta that the police officers have used notes to refresh their memory that were different to the notes made on the day of the arrest is very serious. It is open to the inference that he is saying that the officers gave false evidence.

Mr Aldous’ evidence is also very important. At all times Mr Manunta has maintained his innocence. Among other things he told you, when giving evidence, that he disputed the police evidence that he ran when he saw them, that he disputed the police evidence that he had gone through the door in the southern wall — he told you that he told the police that he had gone to answer the phone and his witness, Mr Aldous, not only supports that statement in his evidence, but he also says that he, Mr Aldous, stated that fact to the police when one of them said to him Where did he go, where did he go?’

There is a rule, ladies and gentlemen, and it is, no more than a rule of practice, that it is necessary to put to an opponent’s witnesses (in this case, the three police officers) in the course of their cross-examination, the nature of the case upon which it is proposed to rely in contradiction of the police evidence. The rule serves the purpose of giving the police officers the opportunity to respond to the proposed contradictory evidence, and the opportunity to deal with any inference to be drawn from it. It also gives the other party, in this case the Crown, the opportunity to lead further evidence in respect of the evidence given by one or other of the witnesses. You may be satisfied that it is clear that neither of these two matters were put to any of the three police officers, and the matter for you to determine, ladies and gentlemen, for it is for you to decide, is the consequence, if any of that flows from the defendant’s failure to cross-examine the three police officers on those two issues, and perhaps the third issue which I am yet to identify. A failure to comply with the rule cannot compel a jury to a conclusion on an issue of fact. It cannot compel you to find a crime proved. It does not relieve the Crown of its obligation to prove the ingredients of the charge. Questions of fact still remain to be decided within the province of the jury irrespective of compliance or non-compliance of any rule of practice; but failure to comply with the rule may have a marked effect upon the view which the jury takes of the evidence. Whether that is the case here, ladies and gentlemen, it is for you to determine but you are entitled to consider what might have been the answers of the three police officers if [ [sic] ] it had been put to them in cross-examination that they were refreshing their memory from a set of notes which was not the set compiled on the day of the arrest, that they had been told by Mr Aldous almost immediately on their arrival that Mr Manunta went over there to the phone’. You are entitled, for example, to ask yourselves, ladies and gentlemen, could these be matters of recent invention concocted by the defendant and his witness in an attempt to cast doubts on the evidence of the police officers without giving to the police officers the opportunity to contradict those propositions?

I turn now to the third issue, which as I said is a little more complex. The case for the defence is that Mr Manunta and Mr Aldous were together at the roller door. The phone rang and Mr Manunta answered the phone. The police car then arrived. Was it ever put to the police officers that Manunta and Aldous were talking either side by side or facing each other, either at the roller door or at the driveway or out in the driveway, when the police car arrived?

To consider this issue I need to briefly refer to the evidence and then the cross-examination of each of the three police officers. First, the evidence of Detective Davies at p 5. He said,

As I pulled in or turned into the driveway at 208 Grange Road I saw Mr Manunta standing in the area directly outside the roller door of his workshop.

When the cross-examination on that particular aspect of his evidence at pp 31 and 32, the question was,

When you got to the scene the accused was standing pretty well in the roller door area, wasn’t he? A. No, my recollection of it was he was more towards the centre of the driveway than in the roller door area.

Mr Eckert’s evidence in chief is a p 59. He said,

As we drove from Grange Road I saw the accused standing just outside the entrance to his premises and this person quickly shot back inside of the premises.

He was cross-examined at pp 74 and 75. The question was,

When you got to the scene first the accused was really in the area of the roller door, wasn’t he? If you brought the roller door down, you might have brought it down on him. That’s what I am suggesting. A. From what I was suggesting he was a little way out of the roller door, perhaps a couple of paces, so it is probably around the mark. He was in that area close proximity to the roller door.

Q. There was with him another civilian wasn’t there? A. Yes.

Q. Did he eventually appear to be associated with the white American car that was there? A. Yes.

Q. Did you see that chap drive away later in that car? A. I didn’t personally see him drive away, no.

Q. But you saw he was gone and the car was gone? A. Yes.

Lastly, there is the evidence in chief of Mr Van Meeteren at pp 83 and 84.

As we drove into the driveway he was standing out the front of the garage.

When he was asked, how was he physically positioned, Mr Van Meeteren said,

I’m not sure. I think I remember him turning around and looking at us as we drove along the driveway and then he ran into the garage from there.

His cross-examination is at pp 99 and 100.

Q. When you turned up at the workshop, Mr Manunta didn’t run inside the shop, did he? A. Yes.

Q. Did you see where he went? A. After he ran into the workshop, that’s where I lost sight of him. I saw him a short time later as to where he was in the workshop and where he was walking to.

Q. You later discovered two phones in that workshop, didn’t you? A. I remember one phone.

Q. There is one in the office, wasn’t there? A. Yes.

Q. Also one near the shelves near the personal [ [sic] ] door? A. I’m sorry; I don’t remember that.

Q. You took the particulars of the man who was there with the accused when you arrived? A. Yes, I spoke to him. I asked for his driver’s licence.

Q. Did you discover that he came from Angas Engineering? A. I’m not sure. I can’t remember. I think he told us that he was a customer there and the accused was looking at his car or something similar.

Ladies and gentlemen, they are the passages in the evidence in chief and in cross-examination respectively of the three police officers to which I direct your attention because it is for you to determine, ladies and gentlemen, whether these passages of cross-examination put the nature of the defence case sufficiently to each of the three police officers.

Just the same, it is for you to determine what if any consequences adverse or otherwise might flow against the accused if you decide that it was not put to the police officers correctly.”

As to the first matter mentioned by his Honour, it is not in dispute that counsel for the defence did not put to any of the police officers in cross-examination that the notes made by Detective Davies, to which all three police officers referred, were not in fact the notes made by Davies on the day in question. Neither was that topic dealt with in the examination-in-chief of the appellant. The prosecuting counsel cross-examined the appellant as to whether he had been given the opportunity to read and sign Davies’ notes. For that purpose the actual notes to which Davies referred in evidence were placed in the appellant’s hands in the witness box. He then said that he thought that the notes which Davies made on the day were made in a notepad or small book and not on paper like those produced to him. After some questions and answers he committed himself to the proposition that the notes which Davies made were definitely not those produced to him and that he was positive about that. It seems to me that the failure of counsel to cross-examine the police officers on the topic left open the inference that the challenge to the notes was an afterthought on the part of the appellant and was simply a lie told in cross-examination because he though it would serve his interests. The cogency of such an inference might be open to question. It is possible that the idea that the police were referring to notes other than those made at the time might not have occurred either to the appellant or to his legal advisers. The appellant may have realised it only when the notes were placed in his hands during cross-examination. No such explanation, however, was elicited in re-examination. I think that the point was open for the consideration of the jury; its weight was for them to determine.

As to the second matter, the defence counsel did ask the police officers about the whereabouts of Aldous; he did not put to them, however, that in response to a question as to where the appellant had gone Aldous had pointed in the direction of the telephone or that he had said, He just went over by the telephone”. It is perhaps a pity that in his comment to the jury the learned judge focussed on the words used rather than on the gesture. Counsel for the defence intimated to the judge in the absence of the jury that he had deliberately refrained from cross-examination as to the words used because of his belief that such questions would be inadmissible as being directed to elicit hearsay. That this was counsel’s view is confirmed by the passage which I have quoted above from the examination-in-chief of Aldous in which counsel admonished the witness not to state anything that was said. But the substance of the point was nevertheless open to the jury, because the real thrust of Aldous’ evidence was that he had indicated to the police the appellant’s position at the telephone. This was directly contrary to the police evidence as to the appellant emerging from the personnel door”. It was open to the jury to draw the conclusion that that piece of evidence by Aldous was an embellishment put forward to serve the appellant’s interests. Once again I think that there is a serious question as to how much weight should be attached to the omission to put the precise position to the police officers. Nevertheless the point was legitimately open for the consideration of the jury.

The third matter raised by his Honour was in substance whether the failure of counsel for the defence to put to the police officers in cross-examination that the appellant and Aldous were together in conversation at the roller door on their arrival should lead to an inference that the evidence of the appellant and Aldous to that effect was an untrue embellishment designed to assist the appellant. This matter is obviously closely linked to the second matter. It is, I suppose, a matter of impression and interpretation as to whether what counsel put to the police officers sufficiently conveyed the substance of the evidence subsequently given by the appellant and Aldous. The learned judge read the relevant passages to the jury and left it to their judgment. I cannot see much substance in the point but it was a matter for the jurors who heard the evidence and the cross-examination. I do not think that the learned judge can be criticised for leaving it for their consideration.

I have been concerned about the prominence which the learned judge gave to these matters in the course of the summing up. It is legitimate, of course, to draw appropriate conclusions from counsel’s failure to put in cross-examination some matter to which his client or his witnesses subsequently depose. It is a process of reasoning, however, which is fraught with peril and should therefore be used only with much caution and circumspection. There may be many explanations of the omission which do not reflect upon the credibility of the witnesses. Counsel may have misunderstood his instructions. The witnesses may not have been fully co-operative in providing statements. Forensic pressures may have resulted in looseness or inexactitude in the framing of questions. The matter might simply have been overlooked. I think that where the possibility of drawing an adverse inference is left to the jury, the jury should be assisted, generally speaking, by some reference to the sort of factors which I have mentioned. Jurors are not familiar with the course of trial or preparation for trial and such considerations may not enter spontaneously into their minds. Whether such matters should be brought to the attention of the jury and the manner in which that should be done are matters for decision by the trial judge in the atmosphere of the trial. I must say that the points raised with the jury based upon the failure to cross-examine do not seem to me to possess much weight. They were explained to the jury, however, quite fairly and their weight was a matter for the jury. I do not think that any error has been demonstrated.

In my opinion the point raised on the appeal cannot succeed and I would dismiss the appeal.

There is also an appeal against sentence. The sentences imposed were imprisonment for two years and nine months for possession of amphetamine for sale and three years and six months for possession of cocaine for sale, the sentences to be served concurrently. A non-parole period of two years and six months was fixed. The sentences and non-parole period are moderate and there was no complaint about them. It was contended, however, that the judge was wrong in refusing to suspend the sentences.

The appellant is a man aged 29 years and has had a good work history. At the time of the offences he was self-employed as a motor mechanic. He came into conflict with the law as a juvenile. His convictions as an adult have been minor except for a conviction for larceny in 1978 in respect of which he was released on a bond. They include a conviction for possession of Indian hemp. I agree with the judge’s comment that the record is not that of a hardened criminal but the appellant nevertheless is not a first offender.

Mr Tilmouth relied upon s 11(1) of the Criminal Law (Sentencing) Act 1988. His reliance was misplaced. This defendant has been previously convicted of offences punishable by imprisonment, namely larceny and escaping from lawful custody, vide s 11(1)(c). Apart from that, the Court in determining pursuant to par (d) whether any sentence other than imprisonment would be inappropriate having regard to the gravity or circumstances of the offence, is required, in my opinion, to give the usual weight to the traditional purposes of sentencing, namely the observation of a just proportion between the seriousness of the offending and the punishment, general deterrence, personal deterrence and rehabilitation.

The maximum sentence provided in the statute indicates Parliament’s view of the gravity of the offence. The present offences are by no means venial examples of possession for sale. Punishment and deterrence must be the dominant considerations in offences of this kind. The learned judge was correct, in my opinion, in refusing to suspend.

Legoe J.

A jury convicted the appellant of (1) possession of amphetamine for sale, and (2) possessing cocaine for sale. The convictions are challenged on the ground that the learned trial judge, in his summing up, should not have directed the jury

by making (i) any reference at all to the failure of defence counsel to put matters to the Crown witnesses Eckert and Van Meeteren (ii) the references he did make to the failure of defence counsel to put matters to the Crown witnesses Eckert and Van Meeteren.”

There were three matters which the learned trial judge referred to in his summing up. They were, inter alia:In the reasons of the learned Chief Justice, these three matters are more elaborately explained and discussed. I need not refer further to the details of the three separate issues.

  • (i)that the notes used by the Crown witness, Davies, during the trial, and adopted by Eckert and Van Meeteren and their evidence as to the notes made by Davies on that day (29 May 1987) were not, in fact, the notes made by Davies on that day;
  • (ii)evidence by the defence witness, Mr Aldous, that one of the police officers said to him, where did he go, where did he go” and that Aldous replied, he went over there to the phone’”; and
  • (iii)the position that the appellant and his witness, Mr Aldous, were at the time the police car arrived, namely, were they talking together either side by side facing each other at the roller door of the premises or out in the driveway?

In the reasons of the learned Chief Justice, these three matters are more elaborately explained and discussed. I need not refer further to the details of the three separate issues.

The fact of the matter is that, in the absence of the jury, the learned trial judge put to both counsel the text of what he proposed to put to the jury as part of his summing up in relation to these three matters. After his Honour had outlined the text that he proposed to put, and did eventually put to the jury as set out in the reasons of the learned Chief Justice, counsel for the accused submitted that, To put any of that would be to distort the case presented to the jury.” The transcript then contains a detailed discussion between the learned trial judge and counsel as to the particular passages in the evidence of the police officers where certain matters were put and where some of these matters were not put in cross-examination to any or either of the three police officers concerned. At the end of that discussion, counsel for the accused, maintained that not only should that not be put as Browne v Dunn direction” but the more that was put in relation to the three matters, the worse it would become. Counsel submitted that it would distort the focus of the trial for the jury. As counsel pointed out, the focus of the trial is to direct their attention to the disputes between the accused’s evidence and that of his witnesses on the one hand, and the police officers’ evidence on the other. Counsel for the accused further submitted that he had paid little attention to these matters in his final address to the jury. Furthermore, counsel took the view that the statement in Mr Aldous’ evidence relating to what had been said when the police officer called out, Where is he?”, was hearsay material and that, as counsel for the accused, he had deliberately omitted any reference to that oral statement which may have been out of the earshot of the accused at that particular time in the course of his cross-examination of the police officers. However, counsel for the Crown had addressed on each of these matters in his final address to the jury. The learned judge ruled that it was proper for him to give a direction in the terms that he had read out in relation to the references to the passages of the evidence which he had drawn attention to in the course of discussion. At the conclusion of the summing up and after the direction had been given, including the passage which is set out in full in the reasons for judgment of the learned Chief Justice, counsel for the accused objected to that part in the summing up which he described as the Browne v Dunn (1894) 6 R 67 directions. However, counsel for the accused did not ask the learned trial judge to alter or amend the wording of that direction. His objection was to the whole passage or part of the summing up which related to these three matters and applied, in effect, for the whole passage to be withdrawn from the jury with the appropriate corrections by way of a redirection.

As to the first of the three matters, there was some discussion between the judge and counsel which indicated that on its own the question of whether the notes were the same notes as had been transcribed at the time of the conversation was a relatively minor matter and on its own would not have warranted any attention in the summing up. What the accused had said in his evidence was to the effect that he thought the notes were different. The learned trial judge indicated that he had included this matter because it was one of two certain and three probable matters”.

It is clear from the evidence and from a reading of the transcript combined with the summing up, that this is not a case where it could be suggested nor has it ever been suggested that the learned trial judge misstated the position in directing the jury in relation to the facts concerning the cross-examination or lack of cross-examination. The issue, so far as the opposed portion of the summing up was concerned, was confined to the question as to whether the learned trial judge should say anything on these matters at all. The Crown prosecutor, having addressed on these points as part of his summing up, left the issues before the jury without any real mention or certainly without any detailed submissions from the defence. What was the judge to do in these circumstances? Say nothing? No, that would be a misdirection by omission and leaving the jury with the impression that the submissions of the Crown prosecutor were the only guidance for them to follow. Was the learned trial judge merely to refer to the remarks made by counsel for the Crown in his final address and say nothing about the defence? No, that would be worse, as it would leave an even greater emphasis on the submissions made by the Crown prosecutor. What the learned trial judge did was to give a full and detailed explanation as to the rule of practice and the issues that arose in the case out of the three particular matters which he had isolated by topic. In my judgment, the learned trial judge did not misstate any fact. He accurately put the matters upon which there had been cross-examination of the police officers, and those upon which there had been no cross-examination. In that he emphasised certain aspects and indicated the importance of those matters so far as the jury’s deliberations were concerned, was to do no more than assist the jury in their essential task of assessing the evidence and how to fit those matters into the jury’s fact-finding function.

For these reasons, the test stated in R v Leggatt [1971] VR 705 at 708 is not applicable to the complaints made in this case about the directions. There is no misstatement, as to the effect of the evidence”. In any event, according to the test approved in that case:

The appellant has the burden of showing that the misstatement probably affected the verdict, whereas in the case of an error of law the appeal will be allowed unless the Crown shows that the error did not affect the verdict.”

See Simic v The Queen (1980) 144 CLR 319 at 327 and Cleland v The Queen (1982) 151 CLR 1 at 10-12, per Gibbs CJ.

In the present case the so-called rule in Browne v Dunn first articulated by Lord Herschell LC in 1894 and only reported in the sixth volume of a limited series of reports known as The Reports”, has been the subject of much discussion by academics and judges, particularly in recent times. The points which have emerged from these discussions and comments include the following:

  • 1.It is a rule of practice which is of importance to the fair and orderly conduct of trials, both civil and criminal: see R v Costi (1987) 48 SASR 269 at 270, per King CJ.
  • 2.It applies to the conduct of the case and is particularly relevant to the manner in which issues emerge at the hearing.
  • 3.In civil proceedings, those issues arise in the pleadings and thus notice may be given to the parties of the facts upon which a party will rely. In criminal proceedings the Crown leads evidence by way of allegations to set up the particular facts and the defence cross-examine those witnesses for the purpose of giving such notice in respect of contested facts or different versions of those facts.
  • 4.There are two limbs or aspects to the rule:
    • (a)When cross-examining, counsel are required to put to a witness so much of the case for that particular party as concerns that particular witness.
    • (b)Where an allegation is to be made against a witness or where a point is to be made which reflects on the conduct of that witness, then the party, through counsel, is required to bring to the witness’s attention the allegation or particular point, fairly and distinctly so that the witness may have an opportunity of admitting or denying or otherwise qualifying the allegation or point in evidence. See R v Costi (supra).
  • 5.In considering the application of the rule, it often becomes crucial for the court to determine whether a witness or a number of witnesses has or have been cross-examined at all in relation to allegations or particular points or, in the alternative, whether some cross-examination has been directed to the allegation or issue and it cannot therefore be said that there has been no challenge at all to the evidence given by the other party: see Thomas v Van Den Yssel (1976) 14 SASR 205 at 207, per Bray CJ.
  • 6.The two matters referred to in 5 (above) frequently overlap when considering the rule. The court must often determine first whether a challenge has been mounted to the truth of the evidence given by a witness or is the challenge made by contradicting some particular fact or qualifying some particular fact from which an inference may be drawn: see Thomas v Van Den Yssel (supra); and Reid v Kerr (1974) 9 SASR 367.
  • 7.The rationale of the rule was explained by Lord Herschell LC when, at 71 of Browne v Dunn, his Lordship said that there was no obligation to raise such a matter in cross-examination in circumstances where it is perfectly clear that (the witness) has had full notice beforehand that there is an intention to impeach the credibility of the story which he is telling” and concluded by saying, All I am saying is that it will not do to impeach the credibility of a witness upon a matter in which he has not had an opportunity of giving an explanation by reason of there having been no suggestion whatever in the course of the case that his story is not accepted”. Lord Halsbury and Lord Morris expressed concurring opinions in their two speeches, per Lord Halsbury (at 76-77) and per Lord Morris (at 78-79).
  • 8.The various so-called rules which emerge from the decision in Browne v Dunn have been variously stated by text book writers, for example, Byrne & Heydon, Cross on Evidence (2nd Aust ed, 1981), par 10.50 and BuzzardMay and Howard, Phipson on Evidence (12th ed, 1976), par 15.93. Attempts to formulate these rules have been discussed in Bulstrode v Trimble [1970] VR 840, particularly per Newton J (at 846, 848) and Unsted v Unsted (1947) 47 SR (NSW) 495 at 500 and the South Australian cases which I have mentioned above, of Reid v Kerr (supra) and Thomas v Van Den Yssel and R v Costi. Newton J, in Bulstrode v Trimble (supra) at 846, suggested that the rule of practice or procedure is first based upon general principles of fairness designed to achieve fairness to a witness and a fair trial between the parties and, secondly, the rule relates to the weight or cogency of the evidence.
  • 9.In Allied Pastoral Holdings Pty Ltd v Commissioner of Taxation (Cth) [1983] 1 NSWLR 1, Hunt J discussed many of these cases and pointed out in relation to the application of the rule, that it may have particular significance where the case relies upon inferences to be drawn from other evidence in the proceedings: see at 16.