Secretary for Justice v. Wong Kwok Kau
Read the full judgment text of CAAR 1/2004 on BabelCite. This Court of Appeal judgment was delivered on 13 August 2004.
1. On 28 April 2000, the respondent was sentenced by Nguyen J to seven years' imprisonment. This represented a mere third of the twenty-one-year starting point originally taken for the offence of trafficking in a mixture containing 845.74 grammes of heroin hydrochloride.
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CAAR000001/2004 CAAR 1/2004 IN THE HIGH COURT OF THE HONG KONG SPECIAL ADMINISTRATIVE REGION COURT OF APPEAL APPLICATION FOR REVIEW NO. 1 OF 2004 (ON APPEAL FROM HCCC 383 OF 1999) ____________________
____________________ Coram: Hon Stuart-Moore Ag CJHC, Woo VP and Yeung JA Date of Hearing: 4 August 2004 Date of Judgment: 13 August 2004 ____________________ J U D G M E N T ____________________ Stuart-Moore, Ag CJHC (giving the judgment of the Court): Introduction 1.On 28 April 2000, the respondent was sentenced by Nguyen J to seven years' imprisonment. This represented a mere third of the twenty-one-year starting point originally taken for the offence of trafficking in a mixture containing 845.74 grammes of heroin hydrochloride. 2.The mitigation which had led the judge to impose this remarkably lenient sentence was, as it now turns out, entirely misleading. It had been manufactured to give the respondent the appearance of having really substantial mitigation to place before the court which, in turn, could be expected to make a material difference to the sentence he was otherwise bound to have received under the guidelines in R v Lau Tak-ming & Anor [1990] 2 HKLR 370. 3.In short, by means of a conspiracy with others, who included a police sergeant attached to the Narcotics Bureau, the respondent was able to obtain a confidential report dated 19 January 2000 from the Hong Kong Police Force, purporting to contain genuine information which was duly presented to the court as mitigation. This stated that the respondent had given information that an international drugs trafficking syndicate was arranging a transaction which involved a substantial quantity of methamphetamine (ice) at a hotel in the West Kowloon area. When the hotel room in question was raided, police were able to seize ten kilogrammes of ice worth about $5 million. 4.In reality, as a later ICAC investigation revealed, the respondent had agreed to pay for the purchase of the ice as well as additional expenses such as the work of couriers and others who had been involved in setting up this bogus transaction. The drugs were then hidden inside a hotel room which was duly raided after the Narcotics Bureau had been given a tip-off that drugs were to be found there. 5.In these circumstances, the matter now comes before us as an application by the Secretary for Justice (the applicant), under the provisions of section 81A of the Criminal Procedure Ordinance, Cap. 221, for a review of sentence. Leave out of time was granted for this purpose on 16 January 2004. 6.The principal questions arising from this application are firstly whether we have, in the particular circumstances which have arisen, jurisdiction to take into account fresh evidence with a view to increasing the respondent's sentence and, secondly, if there is such jurisdiction, to what extent, if at all, the respondent's sentence should be increased. Jurisdiction 7.For the purposes of putting its arguments forward, the applicant has necessarily had to rely on material which has been obtained subsequent to the imposition of sentence upon the respondent. This takes the form of evidence which, on 9 October 2002, was placed before Deputy Judge Day sitting in the High Court when the respondent pleaded guilty (in HCCC 419/2001) to a count of conspiracy to pervert the course of public justice. The applicant sought to have the court records from that case, demonstrating how the respondent had been sentenced to seven years' imprisonment for trafficking in heroin (in HCCC 383/1999) on a wholly false basis, admitted in evidence before us pursuant to section 83V(1)(a) of the Criminal Procedure Ordinance, Cap. 221, on the ground that its reception was necessary or expedient in the interests of justice. 8.The application to adduce fresh evidence was not resisted by Mr Mughal, on the respondent's behalf. However, he submitted that there could, by reason of its admission, be no increase in sentence having regard to section 85V(5). Mr Mughal did not appear for the respondent in the court below. 9.The relevant provisions of section 83V are as follows:
10.Additionally, section 81B provides, in respect of an application for a review of sentence by the Secretary of Justice, that:
11.The situation which has arisen is apparently one which is unique in Hong Kong. It has, however, been encountered in the Australian courts and, relying on the decisions of those courts, it was contended by Mr Cross, SC, for the applicant, that section 83V(5) did not operate to prevent the court records in HCCC 419/2001 from being utilised in the resolution of this application. Hong Kong legislation closely follows Australian statutory codes in respect of the point at issue. 12.In R v Beldan [1986] 21 A Crim R 159, where more or less the same point arose for the consideration of the Court of Criminal Appeal in Queensland as we have in these proceedings, false mitigation had been placed before a District Court in Queensland on which the judge had placed significant reliance. The main thrust of the mitigation was that since the commission of her offence, the respondent had been able to gain employment working with an organisation which looked after children who were physically handicapped and, in the event that a non-custodial sentence was imposed upon her, she would be able to continue her employment. The judge conditionally discharged the respondent following which the prosecution appealed against what they contended was an inadequate order. In dealing with the apparent evidential hurdle contained in section 671B of the [1899] Queensland Criminal Code which, for all practical purposes, equates with section 83V(5) of the Criminal Procedure Ordinance, McPherson J, having found that the District Court judge had been materially misled, said (at p. 167):
The court in that case was also concerned with other issues which are of no relevance to the proceedings before us. It suffices to say that the new material which had become available to the prosecution was unanimously held to be properly received and, by a majority, the sentence was varied to twelve months' imprisonment. 13.In R v Ly & Ors [1992] NSW Lexis 7560, the Court of Criminal Appeal in New South Wales, where again the legislation makes a proviso which is for all practical purposes the same as section 83V(5), relied on Beldan in a case where a prisoner, having promised to give evidence for the prosecution in return for which he was given a discount, went back on his promise. In this regard, it should be emphasised that such a situation ought never to arise in Hong Kong because of the practice that no discount should be given based upon a mere promise. In any event, when the promise is given in relation to a trial which is reasonably imminent in this jurisdiction, the prisoner should first be allowed to testify before being sentenced. 14.Nevertheless, Ly & Ors provides an analogous situation to that with which we are now confronted, and led the court, when giving judgment, to observe:
15.In a further judgment of the New South Wales Court of Appeal, Gleeson CJ relied on Beldan and on Ly & Ors when stating in R v Walters & Anor [1994] NSW Lexis 14223, that the court could review the sentences on the basis that they were procured by fraud. In that case, which in a similar way to Ly & Ors was concerned with the failure of the respondents to honour their undertakings to give evidence against one other involved in their offence, the court considered that it was unnecessary to determine whether the respondents were lying at first instance when they professed an ability to give material evidence against their co-offender or were attempting to mislead the Court of Appeal by their later claim to have fabricated a story about the co-offender. The court stated that:
16.The same point has also been considered in the Court of Criminal Appeal South Australia, in R v J [1992] 64 A Crim R 441 where, again, the legislation is on all fours with section 83V(5). Olsson J, giving the principal judgment of the court, said:
17.In the present case, it is accepted, for reasons to which we shall shortly turn in greater detail, that the respondent was dealt with by the judge on an entirely false basis. Mitigation which was designed to deceive the judge, and which did in fact do so, materially affected the sentence he imposed. Necessarily, therefore, this was only discovered after sentence had been passed. 18.Although Meek v Fleming [1961] 2 QB 366, to which the court in Beldan had referred, was concerned with civil litigation, where the defendant's reduction from high rank in the police force for misconduct had been concealed throughout the trial from the judge, jury and plaintiff, in order to maintain his credibility, the principle with which we are now concerned was well-expressed in that case by Holroyd-Pearce LJ (at p. 379) who said:
19.We have not the slightest doubt that section 83V(5) was never intended to prevent the consideration by the Court of Appeal of evidence which, if utilised, would have the effect of putting the record straight in circumstances where a judge has been purposely misled into taking a lenient course of action as the result of material being placed before him which had been fraudulently obtained. Whilst it might be said that such conduct in itself amounted to doing an act tending and intended to pervert the course of public justice for which the offender could be additionally punished, such an offence would generally give rise to separate sentencing considerations (see: Attorney General's Reference [No.1 of 1990], 12 Cr App R(S) 245 where it was held that the sentence imposed for such an offence should normally be consecutive to any sentence for the substantive offence in relation to which the act was committed). 20.Accordingly, with these considerations in mind, we admitted the evidence which the applicant had sought to adduce by way of fresh evidence for the purpose of giving consideration to it when deciding whether to increase sentence. The facts in HCCC 383/1999 21.The respondent's plea of guilty in HCCC 383/1999, which he had entered at Eastern Magistrates' Court, was confirmed before Nguyen J on 28 April 2000. The particulars of this offence were that on 14 June 1999, the respondent had unlawfully trafficked in 1,746.35 grammes of a mixture containing 845.74 grammes of heroin hydrochloride. 22.The summary of facts, somewhat unusually for a case of this gravity, provided almost no detail of the case. This merely described how, at 3:50 a.m. on 14 June 1999, the respondent was observed going up to the seventh floor of a building in Kwun Tong and returning to the ground floor at 5:00 p.m. on the same day. He was then arrested by Customs and Excise officers who found a total of five blocks of heroin in the two bags he was carrying. The respondent admitted he was carrying heroin. The value of these drugs was later estimated to be in the region of $687,600. 23.The respondent, aged 43, has a bad criminal record. The judge's attention was drawn to the respondent's thirteen previous court appearances, the last three of which related to trafficking in dangerous drugs. Mitigation in chambers 24.The judge heard mitigation on the only aspect of any substance at a hearing which was rightly conducted in chambers. (See: HKSAR v Tse Ka-wah [1998] 1 HKLRD 925). The judge heard that the respondent had provided information to the police which resulted in ten kilogrammes of ice valued at $5 million being seized on 8 July 1999 from a hotel room. There had, however, been no arrests. 25.In the course of the hearing, the judge enquired of counsel then appearing on the respondent's behalf as to the sort of discount he had in mind. Counsel wisely perhaps, in view of what then occurred, did not directly answer this question and indeed tried at one stage, very responsibly, to disabuse the judge of any notion that he could treat the case as one which fell into the "supergrass" category for which a two-thirds reduction in sentence might be appropriate. The judge had raised the topic and counsel had quite rightly discounted it as irrelevant to the case. As to this, firstly, this was plainly not a "supergrass" case. (See, for example, R v Chan Sik-wai & Anor, CACC 134/1999 at p. 9 (unreported)). Secondly, the normal discount for providing information with positive results is usually in the region of 40-45%, with a higher discount of 50% if the offender actually gives evidence from the witness box. This practice is now well-known and is almost always implemented to preserve parity of sentencing. 26.It is unfortunate that in this case matters appear to have gone awry. Having apparently accepted that this was not a "supergrass" case for which a two-thirds discount would be appropriate, the judge hinted to counsel in chambers that he might be minded to give an additional discount of a third in respect of the valuable information provided by the respondent. 27.When the judge later came to pass sentence in open court, he rightly made no mention of the chambers hearing. He gave credit for the timely plea of guilty. He then went on to discount the overall sentence by two-thirds, saying that there were "special circumstances on the papers" which justified him in taking a lenient view. He took a starting point of twenty-one years and reduced this to seven years. 28.On any basis, the sentencing exercise had gone badly wrong. The real foundation for this, leaving aside an apparent misapprehension on the part of the judge about the appropriate limits within which the sentence should have been discounted, was the false material innocently laid before the court by counsel then acting for the respondent. Conspiracy to pervert the course of public justice (HCCC 419/2001) 29.Almost thirty months later, on 9 October 2002, the respondent pleaded guilty in the Court of First Instance before Deputy Judge Day to conspiracy with Police Sergeant Lai Ka-cheong, a further person identified only by the pseudonym D123 and others unknown to pervert the course of public justice by dishonestly permitting the setting up of a dangerous drug transaction and causing information concerning that transaction to be supplied to the Hong Kong Police, thereby enabling the respondent to obtain a reduction in the sentence imposed on him in HCCC 383/1999. 30.As the respondent's plea indicated, based upon the matters revealed by an ICAC investigation, he had in fact provided no genuine assistance to the authorities at all. The summary of facts in HCCC 419/2001 stated:
31.When passing sentence, Deputy Judge Day said:
32.Having taken seven years' imprisonment, the maximum penalty for this offence, as the starting point for sentence, the judge reduced the sentence by a third, to reflect the plea of guilty, making four years and eight months' imprisonment. This was ordered to run consecutively to the seven years being served by the respondent. The judge concluded his sentencing observations with the suggestion that:
33.The judge had encapsulated by his remarks the full gravity of the situation. For the record, we should add that Deputy Judge Day's reference to "11 kilogrammes" was in relation to the actual weight of the crystalline solid, which had a narcotic content of just over eight kilogrammes of ice. Its value was estimated to be $4,025,000. The weight was based on the Government Chemist's analysis. In the earlier proceedings before Nguyen J, the police had used only an approximate weight and valuation before the Government Chemist had made his report. However, this disparity is of no consequence to these proceedings. The application 34.With this background, we can now turn to the application itself. 35.Mr Cross, to whom we express our gratitude for the extensive research he has conducted into the legal aspects of this matter, submitted that the sentence of seven years' imprisonment was manifestly inadequate having regard to the gravity of the trafficking offence and the manner in which the court below had been persuaded to reduce the tariff rate by the deceit which had been practised upon it. A full seven years had been discounted from the original starting point for which there was, he submitted, no entitlement at all. 36.Mr Cross took no exception to the starting point of twenty-one years being reduced by the judge to fourteen years to take into account the plea of guilty. However, there was no justification, he submitted, for a discount of any kind beyond this level. What the judge had described as "special circumstances on the papers" related entirely to a report from the police confirming the mitigation that the respondent had provided information which had led to the seizure of the drugs found at the hotel. The police themselves had been misled into issuing this report which, in turn, had deceived the judge. 37.Accordingly, Mr Cross invited us to substitute a sentence of fourteen years' imprisonment on the indictment for trafficking in heroin. 38.Mr Mughal submitted, having regard to a combination of the delay in bringing this application to court and the fact that a sentence of seven years had been passed which was in addition to the four years and eight months' sentence imposed for the conspiracy to pervert the course of public justice, that the respondent had ultimately received a proper sentence when the whole of the respondent's criminality was considered. 39.We were left unimpressed by the arguments which were advanced by Mr Mughal. In fairness to him, he had very little ammunition available to him with which to attempt to ameliorate the respondent's present position. 40.The respondent has been in custody throughout the time pending these proceedings so that it will not be a case of his having to suffer further incarceration following a release from prison. The delay in making this application between April 2000 and October 2002 is explicable on the basis that the applicant was in no position to make it until the full facts were known. Furthermore, although there was a further delay of about fifteen months, for which no real explanation has been forthcoming, although it is said that the applicant was considering the legal position (in the light of section 83V(5)), the respondent had been put on notice that such proceedings might be instituted from the time Deputy Judge Day invited the prosecution to consider making an application for the review of the drug trafficking sentence. In any event, when delay has occurred, it is only likely to be a relevant consideration if it has been shown to have caused prejudice. In this case, the respondent has been unable to show any. Conclusion 41.We are satisfied that the judge in HCCC 383/1999 would have imposed a sentence of fourteen years' imprisonment but for the deliberately misleading information he was given about the respondent's cooperation with the authorities which was designed by the respondent, in agreement with others, to put himself into a good light in order to gain an unjustified reduction in his sentence. 42.We shall, therefore, pursuant to section 81B of the Criminal Procedure Ordinance, allow this application and quash the seven-year sentence passed by Nguyen J in HCCC 383/1999. In its place, we shall substitute a sentence of fourteen years' imprisonment on the ground that the former sentence was manifestly inadequate. We have considered, this being a review of sentence at the applicant's instigation, whether there ought to be any downward adjustment to the sentence having regard to a possible perception of double jeopardy. However, we have decided that it would not be appropriate in this case. The respondent has now received the sentence he ought to have had imposed on him at the original hearing and which would have been imposed but for the deliberate deception practised on the judge by the respondent himself. The entire blame for what has happened lies with him. 43.The sentence of four years and eight months in HCCC 419/2001 will continue to run consecutively, as Deputy Judge Day had ordered, making an overall sentence for the respondent to serve of eighteen years and eight months' imprisonment. We have considered totality, as Mr Mughal invited us to do, but we were not persuaded that a wholly concurrent or partially consecutive sentence could be justified in these particular circumstances. 44.Finally, we felt it right to mention that although in this case we have been able to adjust the sentence in a way which now appropriately deals with the respondent's criminality, the factual scenario provides an awesome demonstration of the lengths to which some influential criminals are capable of going in order to extricate themselves from the trouble in which they find themselves. It is not difficult to envisage situations where, for example, false evidence is created with the assistance of corrupt agents within the police, which could lead to an acquittal in a case which was contested. As the law presently stands, there are no circumstances in which an acquitted defendant can be re-tried. Depending on the gravity of the offence which has been alleged, a maximum sentence of seven years' imprisonment for perverting the course of public justice, or conspiring to do so, in the event that the defendant is found out is not, in our opinion, a sufficient deterrent for a defendant who is faced, as the respondent in this review was, with a sentence of fourteen years or more on conviction. We would, therefore, invite Mr Cross, who has informed us that the matter is presently under consideration, to take note of our concern that the maximum sentencing limit for offences of this kind has been set too low. In England and Wales, it is to be remembered that the sentence is at large, giving the sentencer an unfettered discretion to impose an appropriate sentence for the situation which has arisen.
Representation: Mr I. Grenville Cross, SC, DPP and Ms Vinci Lam Wing Sai, GC, of the Department of Justice, for the Applicant. Mr Hanif Mohamed Mughal, instructed by Director of Legal Aid, for the Respondent. |
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