Prospect of disagreement
[8-050] Introduction
It is a fundamental principle that the jury must be free to deliberate without any pressure being brought to bear upon them: Black v The Queen (1993) 179 CLR 44 at 50. In Black v The Queen at 51, the High Court formulated model directions which must be carefully followed. The directions set out below have adopted that formulation but with variations required for the purpose of trials to which the majority verdict provisions inserted in the Jury Act 1977 in 2006 apply (see Note 6 at [8-100] below).
The consequences of failing to follow the guidance followed in Black v The Queen, above, was highlighted in Timbery v R [2007] NSWCCA 355, where it was held that a miscarriage of justice was occasioned when the trial judge urged the jury to reach a verdict and indicated that it would be “just terrible” if the jury had to be discharged without verdict after a trial of four weeks. The words used were “emotive” and the trial judge failed to clearly indicate that each juror had a duty to give a verdict according to the evidence: at [122].
The trial judge in Burrell v R [2009] NSWCCA 163 received a note from a juror which stated that any continued deliberations would serve no purpose and that other jury members were pressuring him or her into agreeing with them. The judge gave directions in accordance with the model direction formulated in Black v The Queen: Burrell v R [2007] NSWCCA 65 at [301]–[302]. The Court of Criminal Appeal held that the directions were “appropriately formulated”: Burrell v R [2009] NSWCCA 163 at [224].
The judge’s direction in Isika v R [2015] NSWCCA 304 (extracted at [6]) given in response to a question from the jury “[w]hat happens if we cannot agree?” contravened Black v The Queen. The direction referred to the time and cost of trials and also “arguably implied that jury members would not be performing their duties if they did not agree on verdicts”: Isika v R at [15].
[8-060] Suggested (Black) direction — Commonwealth offences — or State offences where a majority verdict is unavailable because of insufficient jurors — unanimity required
You have informed me that you have not been able to reach a verdict so far. I have the power to discharge you from giving a verdict but I should only do so if I am satisfied that there is no likelihood of genuine agreement being reached after further deliberation. Judges are usually reluctant to discharge a jury because experience has shown that juries can often agree if given more time to consider and discuss the issues. But if, after calmly considering the evidence and listening to the opinions of other jurors, you cannot honestly agree with the conclusions of other jurors, you must give effect to your own view of the evidence.
Each of you has either sworn or affirmed that you will give a true verdict according to the evidence. That is an important responsibility. You must fulfil it to the best of your ability. Each of you takes into the jury room your individual experience and wisdom, and you are expected to judge the evidence fairly and impartially in that light.
You also have a duty to listen carefully and objectively to the views of every one of your fellow jurors. You should calmly weigh up one another’s opinions about the evidence and test them by discussion. Calm and objective discussion of the evidence often leads to a better understanding of the differences of opinion which you may have, and may convince you that your original opinion was wrong.
That is not, of course, to suggest that you can, consistently with your oath or affirmation as a juror, join in a verdict if you do not honestly and genuinely think that it is the correct one.
[If appropriate add additional directions approved in R v Tangye (unrep, 10/4/1997, NSWCCA)
I remind you that your verdict — whether it be “guilty” or “not guilty” — must be a unanimous one.
All 12 of you must, in the end, agree upon that verdict. It may be that the particular paths which lead each of you to that unanimous decision are not quite the same, but, nevertheless, your verdict of “guilty” or “not guilty” must be the verdict of you all. In other words, provided that you all agree that a particular verdict should be given, it does not matter that you do not agree as to why that particular verdict should be given.]
As I have said, experience has shown that often juries are able to agree in the end, if they are given more time to consider and discuss the evidence. For that reason, judges usually request juries to re-examine the matters on which they are in disagreement and to make a further attempt to reach a verdict before they may be discharged.
So, in the light of what I have said, I ask you to retire again and see whether you can reach a verdict.
In cases in which majority verdicts cannot be returned, if there is still no likelihood of agreement, then, and only then, following R v Tangye (unrep, 10/4/1997, NSWCCA), and in accordance with s 56 Jury Act 1977, one or more jurors (usually the foreperson) must be examined on oath or affirmation to establish that fact before the jury can be discharged. This process is done in the presence of all jurors.
The juror (foreperson) must be informed that nothing should be said which would disclose the voting figures or the reasons for the absence of agreement.
After ascertaining the fact that agreement had not so far been reached, an inquiry may be made, if thought to be appropriate, as to whether there is any further assistance which could be given — by way of explaining the law to be applied or the factual issues to be decided — which might bring about an agreement. If the answer is still in the negative, the jury must then be discharged.
A suggested script for this process is as follows:
- (1)
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Have you all agreed upon your verdict/s? Yes or no?
- (2)
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(If no) Is there anything I can do that would assist you to reach a unanimous verdict/s, for example repeating or further explaining any direction of law, reminding you of any of the evidence (if the jury has not got a copy of the trial transcript)? Yes or no?
- (3)
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(If no) In your opinion is it likely the jury would reach a unanimous verdict/s if given more time to deliberate? Yes or no?
A majority verdict cannot be taken from a jury consisting of less than 11 persons: s 55F(1) Jury Act 1977. Where a jury consists of 10 persons or less, s 56(3) permits the court to discharge the jury if it finds, after examination on oath of one or more of the jurors, that it is unlikely the jurors will reach a unanimous verdict.
[8-070] Suggested direction before preconditions of s 55F(2) met — State offences — majority verdict(s) available
Suggested perseverance direction before the preconditions of s 55F(2) Jury Act 1977 are satisfied
You have informed me that you have not been able to reach a verdict so far.
[If the possibility of a majority verdict was not referred to in the course of the trial and summing-up, the following direction does not arise and is not necessary.
The circumstances in which I may take a verdict which is not unanimous have not yet arisen and may not arise at all. You should understand that your verdict of guilty or not guilty must be unanimous.]
As the judge in this trial, I have the power in certain circumstances to discharge you from giving a verdict, but I may only do so if and when I am satisfied that there is no likelihood of you arriving at a verdict after further deliberation.
Experience has shown that juries can often agree if given more time to consider and discuss the issues. But if, after calmly considering the evidence and listening to the opinions of other jurors, you cannot honestly agree with the conclusions of other jurors, you must give effect to your own view of the evidence.
Each of you has either sworn or affirmed that you will give a true verdict according to the evidence. That is an important responsibility. You must fulfil it to the best of your ability. Each of you takes into the jury room your individual experience and wisdom, and you are expected to judge the evidence fairly and impartially in that light.
You also have a duty to listen carefully and objectively to the views of every one of your fellow jurors. You should calmly weigh up one another’s opinions about the evidence and test them by discussion. Calm and objective discussion of the evidence often leads to a better understanding of the differences of opinion which you may have and may convince you that your original opinion was wrong.
That is not, of course, to suggest that you can, consistently with your oath or affirmation as a juror, join in a verdict if you do not honestly and genuinely think that it is the correct one.
[If appropriate, add additional directions approved in R v Tangye (unrep, 10/4/1997, NSWCCA):
I remind you that your verdict — whether it be “guilty” or “not guilty” — must be a unanimous one.
All 12 of you must, in the end, agree upon that verdict. It may be that the particular paths which lead each of you to that unanimous decision are not quite the same, but, nevertheless, your verdict of “guilty” or “not guilty” must be the verdict of you all. In other words, provided that you all agree that a particular verdict should be given, it does not matter that you do not agree as to why that particular verdict should be given.]
As I have said, experience has shown that often juries are able to agree in the end, if they are given more time to consider and discuss the evidence. For that reason, judges usually request juries to re-examine the matters on which they are in disagreement and to make a further attempt to reach a verdict.
So, in the light of what I have said, I ask you to retire again and see whether you can reach a verdict.
[8-080] Notes
- 1.
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A trial judge should be careful not to undermine the effect of a direction in accordance with Black v The Queen (1993) 179 CLR 44 direction by making reference to a specific time when a majority verdict can be taken: RJS v R [2007] NSWCCA 241 at [22]; Ingham v R [2011] NSWCCA 88 at [84] (d)–(e). The above direction is in similar terms to that endorsed in R v Muto [1996] 1 VR 336 at 341–344, (affirmed in R v Di Mauro (2001) 3 VR 62 at [13]–[14]) and Ingham v R at [85] (b). No enquiry of the jury as to whether it is likely a majority verdict will be reached (for the purpose of discharge under s 56(2)) should be made by the judge until such time as a majority verdict is capable of being taken: Hunt v R [2011] NSWCCA 152 at [25], (see further Notes at [8-100]). The court said in Hunt v R at [33]:
[W]hen a Black direction is given in response to an indication by the jury that it is deadlocked or otherwise unable to reach a unanimous verdict, it would be prudent that, generally speaking, no subsequent direction should be given which does other than continue to exhort the jury to strive for a unanimous verdict prior to the expiry of a minimum 8 hours of deliberation (and if necessary, a greater period having regard to the nature and complexity of the issues in the case) and that this is so notwithstanding that the jury may continue prior to the expiry of that period to advise the court that it is unable to reach a unanimous decision.
The jury should be encouraged to continue deliberations without being advised that the time for accepting a majority verdict is imminent: R v VST [2003] VSCA 35 at [38]; RJS v R at [23].
[8-090] Suggested direction after preconditions of s 55F(2) met — State offences — majority verdict(s) available
The two preconditions of s 55F for the availability of majority verdicts are:
- (a)
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that the jury has deliberated for a period of time that the court considers reasonable having regard to the nature and complexity of the proceedings (not less than eight hours), and
- (b)
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that the court is satisfied, after examination on oath of one or more jurors, that the jury is unlikely to reach a unanimous verdict.
A majority verdict direction cannot be given until the court has “strictly observed” and “properly determined” these two “essential preconditions”: RJS v R [2007] NSWCCA 241 at [19]; AGW v R [2008] NSWCCA 81; Hanna v R (2008) 73 NSWLR 390 at [72]; KE v R [2021] NSWCCA 119 at [101]. Failure to address the two pre-conditions will mean the trial is not conducted according to law: AGW v R at [27]; Hanna v R at [72]; Hunt v R [2011] NSWCCA 152 at [25].
The first pre-condition in s 55F(2)(a) is not fulfilled simply by acting upon the lapse of the minimum period of eight hours: AGW v R at [23]; Hanna v R at [71]; Hunt v R at [24]–[26]. Relevant considerations to guide whether eight hours is adequate include the complexity of the disputed issues, the number of counts, the number of contentious witnesses, the volume of evidence, and if the jury was provided with the trial transcript, how much and when: AGW v R at [23].
After receipt of a note from the jury indicating a continued inability to agree upon a unanimous verdict (after having been given a Black direction), the procedural steps are:
- 1.
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In the absence of the jury, hear submissions, make a determination and provide reasons as to whether the jurors have deliberated for a period of time (not less than 8 hours) that is reasonable having regard to the nature and complexity of the trial (s 55F(2)(a)).
- 2.
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Have the jury return to the court room whereupon the judge will examine one or more jurors (usually just the foreperson) on oath/affirmation to confirm the jury are unable to reach a unanimous verdict and is unlikely to do so with further deliberation. (It is prudent to preface the question by indicating that no disclosure should be made of the jury’s deliberation or of voting numbers.)
- 3.
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Declare that the court is satisfied of the fact the jury is unlikely to reach a unanimous verdict after further deliberation (s 55F(2)(b)).
Suggested perseverance direction and majority verdict direction after the preconditions of s 55F(2) Jury Act 1977 are satisfied and the time for taking a majority verdict has arrived
You have informed me that you have not been able to reach a verdict so far.
The circumstances have arisen in which I may take a majority verdict. I direct you that, should you continue to be unable to reach a unanimous verdict you may return a verdict of 11 [or 10 where there are 11 jurors] of you as the verdict of the jury in this case. However, it is preferable that your verdict be unanimous and you should continue to strive to reach a unanimous verdict.
I will repeat some of what I have previously told you.
As the judge in this trial, I have the power in certain circumstances to discharge you from giving a verdict, but I may only do so if and when I am satisfied that there is no likelihood of you arriving at a verdict after further deliberation.
Experience has shown that juries can often agree if given more time to consider and discuss the issues. But if, after calmly considering the evidence and listening to the opinions of other jurors, you cannot honestly agree with the conclusions of other jurors, you must give effect to your own view of the evidence.
Each of you has sworn or affirmed that you will give a true verdict according to the evidence. That is an important responsibility. You must fulfil it to the best of your ability. Each of you takes into the jury room your individual experience and wisdom, and you are expected to judge the evidence fairly and impartially in that light.
You also have a duty to listen carefully and objectively to the views of every one of your fellow jurors. You should calmly weigh up one another’s opinions about the evidence and test them by discussion. Calm and objective discussion of the evidence often leads to a better understanding of the differences of opinion which you may have and may convince you that your original opinion was wrong.
That is not, of course, to suggest that you can, consistently with your oath or affirmation as a juror, join in a verdict if you do not honestly and genuinely think that it is the correct one.
As I have said, experience has shown that often juries are able to agree in the end, if they are given more time to consider and discuss the evidence. For that reason, judges usually request juries to re-examine the matters on which they are in disagreement and to make a further attempt to reach a verdict.
You should continue your deliberations with a view to reaching a unanimous verdict. However, if that becomes impossible but you are able to reach a verdict by agreement of 11 of you [or 10 where there are 11 jurors] you may return such a majority verdict in this case, that is to say a verdict of 11 out of 12 of you [or 10 where there are 11 jurors]. These alternative ways are the only ways in which you may return a verdict according to law.
So, in the light of what I have said, I ask you to retire again and see whether you can reach a verdict in this trial.
[8-100] Notes
- 1.
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This direction does not obviate the need to first give the jury a perseverance direction or Black v The Queen (1993) 179 CLR 44 at 50 direction (as set out above in [8-070]) without reference to the fact or the circumstances in which the jury may return a majority verdict. In Hanna v R (2008) NSWLR 390, defence counsel asked for a Black direction without reference to the possibility of a majority verdict (see [44]) after the foreperson indicated the jury was having difficulty agreeing. The judge rejected the request and gave the jury the majority verdict direction above without making clear findings concerning the two “essential preconditions” under s 55F(2) Jury Act 1977: at [7], [45].
- 2.
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New South Wales legislation is silent as to how the minimum eight-hour period is to be calculated. In the absence of a statutory definition for “deliberation” two considerations may guide the application of the term: (i) whether the jury is sequestered in the same location and (ii) whether the jury is able to conduct discussions about the case at hand: BR v R (2014) 86 NSWLR 456 at [19]–[20]. Discrete and substantial breaks from the performance of the jury’s task such as retirement overnight, taking lunch away from the jury room and sitting in court listening to further directions should not be included in the eight-hour calculation: BR v R at [21]–[22], [41], [44]. There were disparate views in BR v R as to whether travel time between the jury room and the courtroom should be included: [23]–[24]; cf [45], [36]. Nor could it be said with certainty whether deliberations ceased or continued, and for how long, while lunch breaks were taken within the jury room. Consequently, either the whole of the break or none of it should be included: [42], see also [23], [31]. Because it is not possible to inquire into what actually occurs in the privacy of the jury room, it would be prudent to avoid acting immediately after eight hours have elapsed if there is “any ambiguity about any component of the minimum period”: BR v R at [24]; AGW v R [2008] NSWCCA 81 at [24]–[25]. The court should refrain from taking a majority verdict soon after the estimated expiry of eight hours where there is any ambiguity about a component part of that minimum span of time: AGW v R at [23]; Hunt v R at [24]; BR v R at [24], [47]. It is useful to keep a running record of deliberation times with the court officer advising the judge’s associate of commencement and conclusion times for each day’s deliberations if the jury are not brought into court at those times; subtracting a generous allowance for periods during each day in which the jury might not have been deliberating.
- 3.
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The Victorian practice (endorsed in R v VST (2003) 6 VR 569) of recalling the jury once the minimum statutory period had elapsed to see if the jury had reached a unanimous verdict was questioned in RJS v R [2007] NSWCCA 241 at [24]. Spigelman CJ said at [26]:
In many cases, the trial judge may well decide to await a further indication from the jury that it is unlikely that the jurors will reach a unanimous verdict. That is not to say that after the passage of a further lengthy period of time, a matter to be determined by the trial judge, some kind of inquiry to the jury would constitute legal error. This is a matter with respect to which the practice should develop in accordance with the experience of the implementation of the majority verdict system over time. It does not require any definitive guidance from this Court.
- 4.
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In R v Muto [1996] 1 VR 336 at 343, it was contemplated that a judge who considers that the time for taking a majority verdict has arrived will nevertheless tell the jury that it is still preferable that they should endeavour to reach a unanimous verdict but, if they cannot all agree, a majority verdict may be taken. This position was affirmed in R v Di Mauro (2001) 3 VR 62 at [6]–[7].
- 5.
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In AB v R [2023] NSWCCA 165 the trial judge did not obtain explicit evidence from the jury foreperson as to the second precondition in s 55F(2)(b). Beech-Jones CJ at CL said at [60] it would have been preferable if the foreperson had been asked a specific question directed to the likelihood or unlikelihood of the jury reaching a unanimous verdict if further deliberations took place, but in the circumstances of the particular case it was open to the judge to be satisfied that the requirement of s 55F(2)(b) was met. Submissions on whether a reasonable time has expired should be invited and the judge’s reasons must make explicit the factors considered and how the decision it was reasonable to invite a majority verdict was reached. The reasons do not need to be complex or lengthy, but require clarity: KE v R at [98]; RJS v R at [25].
- 6.
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The terms of s 56 Jury Act 1977 with respect to the discharge of a jury in cases where a majority verdict is available (juries of 11 or 12 persons) should be noted:
- (1)
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Where a jury in criminal proceedings has retired, and the jury consists of 11 or 12 persons, the court in which the proceedings are being tried may discharge the jury if it finds, after examination on oath of one or more of the jurors, that it is unlikely that the jurors will reach a unanimous or a majority verdict under section 55F.
- (2)
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Where a jury in criminal proceedings has retired, and the jury consists of 11 or 12 persons, the court in which the proceedings are being tried may not discharge the jury under this section if it finds, after examination on oath of one or more of the jurors, that it is likely that the jurors will reach a majority verdict under section 55F.
No enquiry of the jury for the purpose of s 56(2) (that is, examination on oath of one or more of the jurors, that it is likely that the jurors will reach a majority verdict under s 55F) should be made until the point had been reached at which a majority verdict is capable of being taken: Hunt v R [2011] NSWCCA 152 at [26]. See the observations in O’Brien v R [2019] NSWCCA 187 at [53]–[64], concerning the interplay between s 56 and s 55F(2), and the complications that may arise in cases where the jury has indicated an inability to reach a verdict before the eight hour period required by s 55F(2) has expired.
In Haile v R [2022] NSWCCA 71, the trial judge purported to give a Black direction before the preconditions in s 55F(2) of the Jury Act for receiving a majority verdict were satisfied. It was held (at [143], [202]–[206]) that the trial judge’s omission of the statement, “I have the power to discharge you from giving a verdict, but I should only do so if I am satisfied that there is no likelihood of genuine agreement being reached after further deliberation,” was erroneous. The suggested directions above (at [8-070] and [8-090]) include a reference to the power to discharge the jury (as required by Black) but in a modified form to avoid misstatement as to when this power may be exercised. The modification has been included to take account of s 56 of the Jury Act (the effect of which was not addressed in Haile v R).
- 7.
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Section 68B Jury Act 1977 provides it is an offence for a juror to disclose deliberations including voting numbers except with the consent, or at the request, of the judge. Jury votes or voting patterns are irrelevant and should not be disclosed: Smith v The Queen (2015) 255 CLR 161 at [32], [53].
It is highly desirable that judges inform juries, before retirement, that they should not disclose to the judge their votes or voting patterns in order to minimise such a disclosure occurring before verdict: Smith v The Queen at [32]; R v Burrell [2009] NSWCCA 163 at [217]. Disclosure of voting numbers is not necessary to enable the jury to perform its role in reaching a verdict or for the judge to form a view on whether to ask the jury to consider a majority verdict: Smith v The Queen at [48]–[49]. The judge must, however, disclose to counsel the precise terms of a question asked by a jury where it relates to a relevant issue before the court and both counsel should be given an opportunity to make submissions: Smith v The Queen at [58].
In Hawi v R [2014] NSWCCA 83 at [457]–[460], it was held that the judge was not required to disclose the full contents of jury notes which revealed specifics about the jury’s deliberations. The judge’s summary to counsel of the notes was sufficient.