HKSAR v. Yiu Chi Wang
Read the full judgment text of CACC 582/2002 on BabelCite. This Court of Appeal judgment was delivered on 21 May 2004 before Stuart-Moore VP, Yeung JA and Beeson J.
Criminal law – rape – consent – mistaken belief in consent – burden and standard of proof – summing up – leave to appeal against conviction – applicant aged 40 convicted of rape after complainant awoke to find him having intercourse with her while she was naked and semi-conscious in unfamiliar premises – complainant had been very drunk and had unknowingly consumed Clobazam with alcohol – applicant claimed intercourse was consensual – whether judge's directions on burden of proof were misdirections – whether judge's directions on use of inconsistent prior statements were adequate – whether judge erred in directing jury on mistaken belief in consent – whether judge's direction on inconsistencies between prosecution witnesses was appropriate – held: no misdirection on burden and standard of proof when directions read in proper context – directions on inconsistent statements were comprehensive and adequate – mistaken belief direction was unnecessary but could only have benefited applicant – direction on witness inconsistencies was appropriate – jury's verdict not unsafe or unsatisfactory – application for leave to appeal dismissed
Legal issues: Whether leave to appeal against conviction should be granted on grounds of misdirection on burden and standard of proof, inadequate directions on inconsistent statements, erroneous directions on mistaken belief in consent, and inappropriate direction on witness inconsistencies
Outcome: Application for leave to appeal against conviction dismissed
Cited by 6 cases · Cites 2 cases
|
CACC000582/2002 CACC 582/2002 IN THE HIGH COURT OF THE HONG KONG SPECIAL ADMINISTRATIVE REGION COURT OF APPEAL CRIMINAL APPEAL NO. 582 OF 2002 (ON APPEAL FROM HCCC 269 OF 2002) ____________________
____________________ Coram: Hon Stuart-Moore VP, Yeung JA and Beeson J Date of Hearing: 4 May 2004 Date of Judgment: 21 May 2004 ____________________ J U D G M E N T ____________________ Stuart-Moore, VP (giving the judgment of the Court): Background 1.On 18 November 2002, following a trial in the Court of First Instance before Deputy Judge Line, the applicant, aged 40, was convicted of rape and sentenced to six years' imprisonment. He now seeks leave to appeal against conviction. 2.We are grateful to Mr Saw, SC for the respondent, for his comprehensive outline of the evidence given at trial which, to a considerable degree, we propose to adopt. 3.The offence was alleged to have occurred at the applicant's home on 5 May 2002. The complainant, aged 20, stated that at about 9.30 am, she awoke to find herself in premises she had never seen before. She was naked and the applicant was in the process of having sexual intercourse with her. 4.Evidence was given by other witnesses for the prosecution and defence about the complainant's behaviour prior to the alleged rape which, on any view, revealed that she had, as she herself accepted, become very drunk in the early hours of that morning. Perhaps even more significantly, she had at some point in time, without being aware of it herself, consumed a drug known as Clobazam which has side effects including drowsiness, confusion, light-headedness, and amnesia (loss of memory). If taken with alcohol, increased effects would result therefrom. Prosecution's case 5.The complainant and the applicant were known to each other, having met on a previous occasion when they went to a karaoke establishment in Tsim Sha Tsui. The applicant had afterwards driven the complainant home. 6.Turning to events on 5 May 2002, the complainant was at the C Club in Lan Kwai Fong with her friend Wong Yuen-fa, Jennifer (PW2). The complainant gave evidence that she was "very drunk". She remembered wanting to dance and being hungry but also feeling bad and vomiting. Her evidence was that she could remember PW2 supporting and holding her but, after this, she had no recollection until she later awoke in the same bed as the applicant. The complainant had no specific memory of anything which occurred between herself and the applicant in the early hours of the morning, either at the C Club or at a restaurant which the evidence revealed she had visited. She had no recollection of meeting the applicant. She was unable to remember anything from the time of leaving the C Club until she awoke the next morning. Amongst other things, she said:
A little later she said:
She said also that she had shouted out for help on four or five occasions (appeal bundle p. 65) and when asked what kind of resistance she had offered, she replied:
7.Later, the complainant went on to say that she had no knowledge, while in Lan Kwai Fong, of having taken any sleeping pills, tranquillizers or medicine of any kind. 8.The complainant, soon after the alleged rape, confided in PW2, the girlfriend who had accompanied her in Lan Kwai Fong before the complainant left with the applicant, and also in her godmother (PW3) as to what had happened. 9.PW2 was a student and a close friend of the complainant. She had met the complainant by arrangement at about 1.30 am on 5 May 2002 in Lan Kwai Fong. They had a number of drinks at the C Club and, in due course, they joined the applicant and his group of friends who happened also to be there. The complainant became progressively drunk and used the washroom to vomit on several occasions. At one stage, PW2 saw the complainant asleep on a sofa. 10.PW2 observed that the complainant, whilst very drunk, was being kissed and cuddled by the applicant who told PW2 that she need not be concerned about the complainant as he would look after her. 11.Eventually, PW2 left the C Club to go to a nearby café to find something to eat. PW2 related how the complainant had to be carried there by "Paul" (one of the applicant's friends). By this time, the complainant could not walk without support and at the café she made use of the washroom where she once again vomited. PW2 said that she had to help the complainant to get to and from the washroom. 12.As they left the café, the applicant offered to drive the complainant to her home, saying that he knew where she lived. PW2 told the complainant that she would telephone her when she got home. She attempted to do this, but the telephone went unanswered. At the time they parted, the complainant was still very drunk and unable to walk unaided. 13.Later in her evidence, she described how she rang the complainant's mobile telephone at about 6.30 am but the call was not answered. However, she was awoken at about 10.30 am by a telephone call from the complainant who was crying and saying that she was scared; that the applicant had not seen her home but had taken her to his home; that she had been raped by "Dickie" (the name by which she knew the applicant); that she had no strength to push him away; that she felt very painful "down there"; and that she had not known where she was until later she asked a taxi driver. 14.PW3 said that she regarded the complainant as her natural daughter. She described how the complainant had come to her home during the morning of 5 May 2002 crying and complaining that when she had opened her eyes that morning, she realised she was being raped. 15.The evidence of PW2 and PW3 was not disputed. 16.The prosecution also produced evidence of a closed circuit television (CCTV) tape and twelve photographs taken from it which appeared to show the complainant inside a lift at the applicant's premises in a state of semi-consciousness, with the applicant trying to keep her from collapsing onto the floor. The defence case 17.The applicant gave evidence, admitting that sexual intercourse had taken place. He said that at the time of the act of intercourse, the complainant was a willing and enthusiastic participant who was in control of herself. In his words, the complainant was only "a bit tipsy" and that the CCTV images only showed her wanting to vomit. She had willingly removed all of her clothing at his home and they had slept together naked. Later in the morning, she initiated matters by fondling his penis which had led to a consensual act of sexual intercourse. 18.Although the defence case had not raised such a defence, the judge left for the jury's consideration, perhaps out of an abundance of caution, the issue of genuine but mistaken belief in consent. Grounds of appeal (1) Burden and standard of proof 19.Ms Annie Lai, on the applicant's behalf, advanced four substantive grounds of appeal. In the first of these, which she described as her most important argument, she contended that the judge had erred in his directions to the jury concerning the burden of proof. This argument focused on two specific passages where the judge invited the jury to consider whether it was the complainant or the applicant who had been telling them the truth and a further passage where the jury was asked to consider whether or not the CCTV film provided any support for either of the versions they had heard. 20.The three passages, shown with the emphasis placed on them by Ms Lai, were as follows:
21.It is, of course, right to say that a direction to a jury which allows them to think that they are permitted simply to choose from two versions that which they think is the more reliable, without more, is impermissible. It is important, therefore, to look at the whole of the summing up, so that these passages are not viewed in isolation, for the purposes of determining whether this rule of practice was infringed. The context of the passage about which the first complaint was made was the judge's observation:
22.The next of the judge's observations, the subject of the second complaint, was followed by a change of context where "general remarks" turned to directions on the law. This was made plain in the passage which immediately followed:
23.After this, the judge went on to the standard of proof and gave directions which are usually given in that regard. 24.The question posed by the judge in the third passage which was criticised in this ground, namely whether the CCTV provided support to the version given by the complainant or the applicant, amounted to no more than a statement of the obvious. 25.The problem with which the jury in this case was confronted is not infrequently encountered in cases involving allegations of sexual assault where the prime conflict, as to what occurred just before and at the time of the alleged offence, is to be determined solely on the testimony given by the complainant and by the defendant. This was, as Mr Saw reminded us, considered in the High Court of Australia in Liberato and Ors v R [1985] 159 CLR 507 at 515, where Brennan J observed:
26.Not only were the jury given directions in the clearest terms as to the burden and standard of proof early on in his summing up, the judge returned to the subject at the end when he dealt with these issues in the context of the evidence given by the applicant, as follows:
27.There was, in our opinion, no misdirection on the part of the judge in the way which has been alleged when the directions on the burden and standard of proof are taken in their proper context. In particular, the jury had been told that even if they did not believe what the applicant had said in his testimony, it was still for the prosecution to prove the charge by the evidence they had called. This ground fails. (2) Inconsistent statements 28.The judge's direction which forms the basis of the complaint in the second ground is to be found in a single sentence which reads:
29.The statements to which reference is made in this ground were two witness statements made by the complainant (exhibits P46 and P47) which were tendered in evidence in their entirety by the defence during the course of cross-examination of the complainant. Ms Lai was junior counsel at trial for the applicant and she has emphasised again in these proceedings how it was regarded by the defence as important to put these statements before the jury to demonstrate a number of inconsistencies in the evidence given by the complainant. Indeed, the statements were at first referred to (appeal bundle p. 90) as provisional defence exhibits. 30.The defence were perfectly entitled to have adopted such a course but, having done so, there was no obligation on the part of the judge to confine his comments on these statements, or the jury's examination of them, purely to those portions which had been made the subject of cross-examination. In any event, the directions given by the judge have to be put into a broader context to make proper sense out of what he was saying which was as follows:
31.The suggestion made by Ms Lai in these proceedings that the judge had failed to give adequate directions to the jury as to the use to which the statements could be put, for the purposes of assessing the complainant's credibility, was without any foundation. This is particularly so bearing in mind that the jury's attention was specifically drawn to a number of the inconsistencies between the statements and the complainant's evidence. 32.In the context of this ground, we should perhaps add that Ms Lai also submitted that the inconsistencies in the statements given by the complainant, together with a number of contradictions of her account when placed alongside the evidence given by other witnesses, gave rise to a "lurking doubt" about the conviction. However, these matters were all thoroughly canvassed at trial and we do not consider that they amounted to a ground of any substance. (3) Genuine but mistaken belief in consent 33.Ms Lai complained in her third ground of appeal that the judge had erred in the directions he gave to the jury concerning "mistaken belief" and "consent", in that he had "wrongly presumed (the complainant) was in a comatose state and (had) neglected to direct the jury properly on the issue of mistaken belief". 34.Ms Lai understandably made no criticism of the judge having raised this defence as being available to the applicant although the applicant himself had not raised it and had given positive evidence which contradicted such a possibility. This was, as Ms Lai realistically accepted, a bonus for the defence. Nevertheless, her complaint was that having directed the jury in this way, the judge had failed to express the issue, from the applicant's point of view, in a satisfactory manner. 35.We do not propose to set out the directions which the jury were given in the abbreviated form Ms Lai adopted in this ground of appeal for the purpose of demonstrating her criticism. They need, in our opinion, to be set out in full. The judge, having dealt with two of the three ingredients which the prosecution had to prove in order to establish rape, said:
36.Mr Saw has very responsibly indicated, in the absence of any complaint to this effect, that it may not have been the ideal way for the judge to have drawn the jury's attention to this topic by indicating in this passage that since he had told them that the facts were for them, they could, "if (they) wanted to", consider mistake. No doubt the direction that the jury should consider such a defence if "they wanted to", which could only have arisen if the evidence may have left them believing that the applicant had been labouring under a mistaken belief as to the complainant's consent, could have been expressed in more emphatic language, but any such concern is cured by what was said immediately afterwards, namely:
37.Ms Lai's complaint was that as the judge had embarked on this topic at all, he had a duty to deal with it fully. She pointed out that nowhere had the judge informed the jury that, from a subjective point of view, the defence of mistaken belief could arise no matter how unreasonable that belief may have been. 38.This argument in a very real sense tends to illustrate the dangers of opening up a topic of law in the summing up for which there has been no evidential foundation. In simple terms, this can only lead to speculation. 39.Neither the complainant nor the applicant had said anything which even remotely gave rise to the suggestion that the applicant may have acted under a mistaken belief that the complainant was consenting to sexual intercourse. The complainant's version was that she had tried to stop the applicant when she awoke to discover what he was doing. The applicant, on the other hand, said that both of them had awoken to the sound of his alarm going off. The complainant then began to fondle him which had aroused him. He also fondled her and then they kissed. The applicant said that he went to the refrigerator and drank some coca cola. He fed some of this by mouth into the complainant's mouth and then they resumed kissing. He touched her private parts to find that she was also aroused. He then put on a condom and had sex with her in which he described the complainant's reactions as follows:
40.Returning briefly to the principal matter of complaint under this ground, Ms Lai's suggestion that the directions on this issue were unfair to the applicant, because the judge had confined what he said to a situation which arose only if the complainant was "clearly unconscious", ignored the circumstances in which mistaken belief in consent could ever have applied. In reality, as Mr Saw was right to submit, the applicant's mistaken belief as to consent having been given by the complainant could only have arisen on the facts if the jury concluded, based on what the complainant had alleged, that she awoke to find the applicant was in the process of having sexual intercourse with her. If the jury accepted that evidence, they would necessarily have rejected the applicant's account which the judge summarised to the jury in these terms:
41.In R v Chow Siu-hei and Anor, CACC 692/1995 (unreported), where the facts bore some similarities to the case presently before us, it was submitted that a direction as to mistaken belief should have been given. Power VP said (at p. 9):
42.Similarly, in R v Kwok Tak-ming, Danny [1996] 4 HKC 395, a case in which the victim said she had submitted to the applicant, whereas the applicant had claimed that the victim played an active role, this court (at p. 399) observed:
Later (at p. 401), the judgment continues with the statement that:
43.Bearing in mind the enormous gulf between the two versions in the present case, it can readily be seen that "mistaken belief" as a defence to rape was not a matter which, as Mr Saw rightly submitted, could ever have arisen on the evidence. Whilst no doubt the judge was seeking to be as fair as possible to the applicant, his directions on this topic could only have led to considerations based upon pure speculation. In simple terms, the evidence left no room for a defence of genuine and mistaken belief that consent had been given. 44.It follows, therefore, that we do not consider these directions were appropriate in the circumstances. They were, with respect, unnecessary and, if they were incomplete in any respect, this was not something which caused any injustice as they could only have been of potential benefit to the applicant by giving him a further possible line of defence to which he was not entitled. (4) Inconsistencies in the evidence 45.In the last ground of appeal, it was submitted that the judge was in error when he directed the jury that:
46.Jennifer Wong (PW2) was one of the two "recent complaint" witnesses to give evidence for the prosecution who had also been able to describe some of the events before the complainant went to the applicant's home. Similarly, Paul Wong had also dealt with some of the earlier events at Lan Kwai Fong. His evidence was succinctly summarised as follows:
47.The judge then went on to make the observation which is the subject of this complaint. In our view, the judge's direction was entirely appropriate. Conclusion 48.We are satisfied that there exists in this case no reason for saying that the jury's verdict was unsafe or unsatisfactory. 49.The application is dismissed.
Representation: Mr D.G. Saw, SC, DDPP and Ms Mickey Fung, GC, of the Department of Justice, for the Respondent. Ms Annie Lai, instructed by Messrs Benjamin Au & Co., for the Applicant. |
Cases cited in this judgment
Other judgments that cite this case