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R v Liu[2007] QCA 113
R v Liu[2007] QCA 113
SUPREME COURT OF QUEENSLAND
PARTIES: | |
FILE NO/S: | DC No 2049 of 2006 |
Court of Appeal | |
PROCEEDING: | Appeal against Conviction |
ORIGINATING COURT: | |
DELIVERED ON: | 5 April 2007 |
DELIVERED AT: | Brisbane |
HEARING DATE: | 8 March 2007 |
JUDGES: | Williams and Holmes JJA and Mackenzie J Separate reasons for judgment of each member of the Court, each concurring as to the order made |
ORDER: | 1. Appeal allowed |
CATCHWORDS: | Criminal law – Evidence – JUDICIAL DISCRETION TO ADMIT OR EXCLUDE EVIDENCE – GENERALLY – where the appellant was involved in cheating while playing the card game mini-baccarat at a casino – where the appellant was convicted of fraud after a trial – where at trial, pursuant to a pre-trial ruling, an expert witness was permitted to give evidence regarding the game of mini-baccarat and also the significance of hand movements made by the appellant whilst playing the game – whether the opinions went beyond the boundaries of expert evidence – whether the opinions went beyond what was permitted in the pre-trial ruling Criminal Code Act 1899 (Qld), s 590AA Clark v Ryan (1960) 103 CLR 486, considered R v Griffith [1995] QCA 159 ; [1997] 2 Qd R 524, cited R v Beattie (2001) 127 A Crim R 250, cited R v Hanson [1995] QCA 385 ; CA No 6 of 1995, 29 August 1995, cited R v CL Lam, Truong, Duong and VT Lam [2001] QCA 279 ; (2001) 121 A Crim R 272, applied Shepherd v The Queen (1990) 170 CLR 573, considered Smith v The Queen (2001) 206 CLR 650, cited |
COUNSEL: | P J Davis, with M J A Dight, for the appellant R J Pointing for the respondent |
SOLICITORS: | Legal Aid Queensland for the appellant Director of Public Prosecutions (Queensland) for the respondent |
[1] WILLIAMS JA: The background to this appeal is fully set out in the reasons for judgment of Holmes JA which I have had the advantage of reading.
[2] In addition to the passages from the evidence of Tootell quoted by her Honour I would add that on a number of occasions in the course of his evidence he said that something he observed on the video was “consistent with the fact that he had a card concealed under that hand.” Further, in answer to a question during evidence in chief (again with reference to what was seen on the video) he said:
“Throughout that occasion in my opinion Mr Zhao's hand actions give him the opportunity consistent with the fact that he has a card concealed under his hands and throughout that period of time again his actions are consistent with giving the opportunity and are consistent with him actually concealing cards under his hand and swapping cards with a card that he has concealed under his hand.”
[3] I agree with Holmes JA that in the passages quoted in her reasons, and in the passage I have just referred to, the witness Tootell went beyond what was admissible expert evidence and transgressed into the province of the jury. Because of that, for the reasons given by Holmes JA and Mackenzie J, the conviction must be set aside and a new trial ordered.
[4] But in my view it is not necessary to determine the validity of the totality of the pre-trial ruling in order to dispose of the appeal. The pre-trial ruling, which was applied by the learned trial judge, was to the effect that Tootell could give evidence as follows:
“4.3In response to the specific areas identified … Mr Tootell's evidence whereby he identifies the hand and other bodily movements of defendants (particularly Mr Zhao) that form the basis for his opinion that an extra card was available for use is admissible.
4.4 … Mr Tootell is entitled to comment that in his experience:
(i) that specific conduct is unusual;
(ii) that in his opinion there was an opportunity for a card to be swapped (introduced) and when and how this occurred;
(iii) that the hand movements of Mr Zhao provide the opportunity for card swapping and are consistent with card swapping;
(iv) that these hand movements of Mr Zhao at the relevant times are different to hand movements on other occasions;
(v) to explain, based on his understanding of the game of baccarat, how an added card would impact on the game and the chances of controlling the results of the game.”
[5] The ruling would have permitted Tootell to give evidence that specific conduct was “unusual” (4.4(i)). Significantly a search of the evidence of Tootell discloses that he never described any conduct of Zhao as “unusual”. But, in my view, in an appropriate case it would be permissible for an expert on the game of mini-baccarat to give evidence that the conduct of a player was “unusual”. It would often be beyond the normal experience of jurors to evaluate the significance of specific conduct of a player. For that reason I would prefer to say that in certain circumstances expert evidence could be led that specific conduct was unusual; but the evidence here did not come within the ambit of that. However, in saying that I agree with the observation of Mackenzie J that in most cases it should be possible to limit the ambit of admissibility by using more precise terminology appropriate to the facts of the particular case.
[6] Further, in my view, there could well be situations where an expert in the game of mini-baccarat could give an opinion as to where, in the course of the game, there was an opportunity for a card to be swapped or introduced; such could be justified relying on paragraph 4.4(ii) of the ruling. Such consideration may, in certain circumstances, provide a basis for the reception of expert evidence. But again that does not apply here; the evidence of Tootell went well beyond that.
[7] It is difficult to see that the tests formulated in paragraph 4.4(iii) and 4.4(iv) could justify the reception of expert evidence. Normally a jury would be able to determine whether hand movements differed and whether hand movements were consistent with card swapping. But the question would have to be answered on the facts of each particular case. It is sufficient to say that in this case those considerations do not justify the receipt of the evidence of Tootell.
[8] For the reasons given by Holmes JA paragraph 4.4(v) does provide a basis in this case for the receipt of expert evidence, but the evidence of Tootell went beyond what was permissible.
[9] For those reasons in my view it is not necessary to rule finally on the ambit of admissibility of expert evidence where cheating in a card game is alleged; that could only be determined on the facts of the case in question.
[10] But because the evidence of Tootell went well beyond the proper limits of admissibility of expert evidence in this case there has to be a retrial. I agree with the order proposed.
[11] HOLMES JA: The appellant was one of five accused convicted of one count of fraud after a trial; a sixth accused was acquitted. The Crown case was that while playing a card game, mini-baccarat, at Jupiter’s Casino, the group had cheated in a way which involved the introduction of an extra card. As the result of a pre-trial ruling, an expert witness, Mr Tootell, was permitted to give evidence both as to the game generally and as to the significance of various hand movements made by one of the accused, Shangtao Zhao. The appellant appeals on the grounds that the ruling was wrong: it permitted Mr Tootell to give opinions beyond the boundaries of expert evidence; and in any event what he said went beyond what was permitted by the ruling. It was also said that a miscarriage of justice occurred because a police officer, in the course of his evidence, expressed the opinion that Mr Zhao had an extra card under his hand. Other grounds of appeal concerned whether the accused persons’ possession of an extra card was an indispensable intermediate fact requiring proof beyond reasonable doubt; whether there should have been a direction as to the possible misappropriation of a genuine casino card as an uncharged act; and whether certain comments on the evidence made by the learned trial judge in the course of his summing up produced unfairness. The last three grounds were not strongly pressed.
The Crown case
[12] The Crown led evidence about the game of mini-baccarat as played at the Casino. It involved betting on one of two hands, that of the player or that of the banker. Each hand was dealt from a container called a “shoe”, which held eight decks of cards. Two cards were dealt to each of the banker and the player; depending on their face value, another card might also be dealt. The winning hand was that which was closest in value to nine. There were three possible bets: on the banker, on the player or on a tie. The person placing the highest bet on the player’s hand was entitled to take the player’s cards and turn them over, or “squeeze” them, as it was called. The Crown case was that Shangtao Zhao, by consistently placing the highest bet on the player’s hand, got the opportunity of being able to squeeze each hand. He used his fleeting possession of the cards to replace one of them with a substitute from time to time, in such a way as to ensure that in the course of 21 hands, the player hand did not win. Meanwhile, others in the group were betting on banker and did win; in total, the Crown alleged, some $765,000.
[13] On the Crown case, members of the group had attended the Casino in the early hours of the morning of 17 May 2005 and during a session there had been able to abstract a genuine casino card, probably the two of spades. Somehow they had managed to replace it with a substitute of sufficient quality to escape detection during the Casino’s fairly rigorous procedures of checking all used cards. At around midday on the 17th they returned to the Casino and again engaged in playing mini-baccarat. On the Crown case, after a period of play, Zhao moved the spare card on to the table, concealed under his left hand. From that point on, each time a hand was played he had a spare card which he could choose to use or not use. If he were dealt a losing hand (that is, the two cards did not bear a face value close to nine), there was no need to make any substitution; but he could, if necessary, move the two cards dealt under his left hand and take the opportunity to replace one of them with the card he was already holding. To ensure that the stratagem was not detected, however, it was necessary by the end of the gambling session to ensure that a card of equal value and suit to that introduced was removed. Part of the Crown case was that such a card was found among the possessions of one of the group when they were apprehended at the airport en route back to Hong Kong.
The pre-trial ruling
[14] Mr Tootell, the Crown’s expert witness, was described as “Assistant Manager of Surveillance” at the Casino. He explained that he had been trained in game rules and procedures as well as in using video surveillance to monitor Casino activities. He had also attended a number of training sessions and seminars on “cheating and game protection”. On 17 May 2005 he had reviewed the video footage of the mini‑baccarat game in which the accused were involved, and formed certain conclusions. (It seems to have been as a result of his conclusions that the accused were apprehended at the airport on their way back to Hong Kong.)
[15] At a pre-trial hearing under s 590AA of the Criminal Code Act 1899 (Qld), there was argument as to the admissibility of Mr Tootell’s evidence. The learned judge who made the ruling (who was not the trial judge) relied on R v CL Lam, Truong, Duong and VT Lam,[1] a case which also involved allegations of cheating at mini‑baccarat. In Lam, this Court held that a casino employee occupying a position very similar to that of Mr Tootell was properly regarded as an expert in the rules and procedures of mini-baccarat and in video surveillance of gaming. Accordingly, he was permitted to give evidence to assist the jury to “understand the actions of players and the significance of various actions that were taking place in each of the relevant games”.[2]
[16] The learned judge on the s 590AA hearing summarised what he regarded as the evidence thus admitted in Lam:
“[the expert’s] opinion of the identity of the particular cards; the value of the chips that were placed as bets; the significance of various actions that were taking place in each of the relevant games (see (Lam) para 43), for example the type of movement consistent with secreting a card, that is the subtleties of the play (see (Lam) para 79); and the attribution of particular bets to particular players (see (Lam) paras 43 and 78.) “.
Drawing on what was said in Lam, Mr Tootell as an expert was entitled, the learned judge concluded, to explain the nature of the game. But there might be “subtle movements of the hand or other conduct”, which were not in conformity with the game’s rules; which were consistent with cheating. So, he said, while the expert could not swear the issue, “the effect of subtle movements may necessitate the jury being informed of their effect in such a game”.
[17] Consistently with those conclusions, the learned judge made the following ruling, for the purpose of which he adopted the terms of the Crown’s submissions:
“4.3In response to the specific areas identified … Mr Tootell's evidence whereby he identifies the hand and other bodily movements of defendants (particularly Mr Zhao) that form the basis for his opinion that an extra card was available for use is admissible.
4.5 … Mr Tootell is entitled to comment that in his experience:
(i) that specific conduct is unusual;
(ii) that in his opinion there was an opportunity for a card to be swapped (introduced) and when and how this occurred;
(iii) that the hand movements of Mr Zhao provide the opportunity for card swapping and are consistent with card swapping;
(iv) that these hand movements of Mr Zhao at the relevant times are different to hand movements on other occasions;
(v) to explain, based on his understanding of the game of baccarat, how an added card would impact on the game and the chances of controlling the results of the game.”
The expert’s evidence
[18] At the trial, while the jury watched the video footage of the game, Mr Tootell gave evidence explaining various aspects of it: the exchange of cash for chips, the placing of the bets, the dealing of the hands, the squeezing of the cards and which hands won. (Appropriately, the defence took no issue with the giving of any of this evidence.) Interspersed with this running explanation were exhortations to the jury to pay attention to certain hand movements by Mr Zhao. In practical terms it was desirable that the jury be alerted to the actions which the Crown said was of significance; but it would have been better if the function of pointing them out had been left to the prosecutor. What was being said was of the nature of submission, not evidence. But that was not the subject of the appellant’s complaint; rather it was that Mr Tootell, consistently with the pre-trial ruling, went further and drew conclusions from his observations on a number of occasions.
[19] The first such set of comments related to the earlier session at the Casino at which, on the Crown case, the casino card was stolen for later use and replaced with a counterfeit:
“If we could just pause it there. Now, from the footage that you view and the observations you made of his hand movements at various times, are you able to comment on what you observed on that footage? -- Yes, in my opinion the hand actions by Mr Zhao over those three occasions, his hand actions give him the opportunity and are consistent with him having a card under his hand as he appears to slide his hand on to the table and then later on slide it off. Now, also at the end of that footage at 00.42 and 14 seconds the hand actions by Mr Zhao are again giving him the opportunity and are consistent with the fact that the card that he has under his hand he receives the two cards from the dealer and places – appears to place those cards fully concealed under his left hand before giving the cards back to the dealer. So those actions again give him the opportunity and are consistent with him actually swapping the card under his hand with one of those two cards that the dealer gave him.
The two cards that were handed back after that were a two ---? --- Were a two and a 10, so in my opinion if he did actually – if he did actually swap the card, then it would either be a two or a 10 that he has actually swapped into the game.”
He was asked to elaborate:
“You told us that in your view it provided the opportunity consistent with. On what did you base that opinion? -- Sorry, based on his hand actions that I observed and through my experience and knowledge of cheating.
What specific hand actions did you rely upon? -- The specific hand actions I relied upon were the way in which he brought his hand on to the table in the first place, his hand actions throughout that period of play until he takes his hand back, and then specifically the – at 00:42:14, I based my opinion on again the hand actions of how it appears that he has concealed the cards the dealer gave him completely under his left hand before bringing them back out and giving them back to the dealer.”
[20] When the footage of the next session was played Mr Tootell again was asked for his views:
“Now, on referring to the period between 12:25:30 and 13:18:41 are you able to comment upon the actions of Mr Zhao on occasions when he squeezes the cards or turns the cards? -- Yes. Throughout that occasion in my opinion Mr Zhao’s hand actions give him the opportunity consistent with the fact that he has a card concealed under his hands and throughout that period of time again his actions are consistent with giving the opportunity and are consistent with him actually concealing cards under his hand and swapping cards with a card that he has concealed under his hand.”
……..
Mr Tootell, again I am referring to the period between 12:25:30 and 13:18:41. Are you able to comment on Mr Zhao’s head movements on occasions during that period? -- Yes, I am. Throughout that time there was a number of occasions where I have observed in the footage the head movements displayed by Mr Zhao and the hand movements at the same time, in my opinion give him the opportunity and are consistent with viewing – looking at a card under his hand.”
That matter was taken up again later:
“Before lunch when I asked you about the period between 13:18:41 and – sorry, 12:25:30 and 13:18:41 you expressed the opinion that throughout that period Mr Zhao’s hand action gave him the opportunity and was consistent with the fact of a card being concealed under his hand and throughout that period his actions were consistent and gave him the opportunity and were consistent with him actually concealing cards under his hand and swapping cards with the card that he had concealed under his hand. Can I ask you to explain to the Court on what you base that opinion ? -- I base that opinion on the videotape footage that I viewed. Now, like the video footage that we have already viewed, I have viewed that probably close to 50 times, evaluated different parts of that footage, looked at his hand actions, everything that has occurred on the table, and from that I formulated that opinion.
Okay. So what specific hand actions did you observe that were telling in your perspective ? -- Well, the main hand actions were his hand actions in regards to his left hand, the way that he actually brought that hand out on to the table and what he did with it while it was on the table until he actually took it off the table.
If you could just be more specific as to what you saw on the videotape him doing with his hand at that time? -- What I saw.
What it appeared to you that he was doing with his hand? -- okay. Well, it appeared to me that he was - had his - well, he had his hand in the position face down. Okay. As far as the use of his left hand, all the actions as far as he pulled his hand onto the table, the way he had it face down, that again is – gave him the opportunity and was consistent with the fact that he had a card concealed under that hand.
Okay. So the movements of his left hand? -- It is all the movements, that’s correct.”