Reasons for allowing the appeal and ordering a new trial
3 The reasons for allowing the appeal arise out of the following events.
4 On 11 August 2000 the jury retired to consider its verdict at about 11am. At 11.50am the trial judge received a written question from the jury. The question sought confirmation about whether the jury could find a verdict of sexual intercourse without consent, but also find a verdict of not guilty of aggravated sexual intercourse without consent. After some debate with counsel in which s 61Q of the Crimes Act was identified as the source of the possible alternative verdict, the transcript records the following:
"SEGAL: The indictment only contained one count. There was no addresses taking into account the possibility of an alternative verdict, although it might have been taking the addresses as a whole, it might have been something that the jury has started to think about, but it wasn't something that I specifically addressed, because there was only one count on the indictment and I'd prefer your Honour take the position that because of the case as run, that your Honour says to the jury, in the circumstances because the trial has run on the basis of an indictment without an alternative, although there is a legal alternative, but because of the way the trial has run up until this point of time, that your Honour say to the jury, 'It's not a question you can answer.' That's the defence response.
HIS HONOUR: Thank you Mr Segal, I propose to answer the question in the affirmative and give them the legal position.
JURY RETURNED TO COURT AT 12.05PM
HIS HONOUR: Ladies and gentlemen I have your question, which I received at 11.50am today, 11 August, I have marked it for identification 12. I will read it onto the record.
'Confirm whether the jury can find a verdict of guilty of sexual intercourse without consent, but not guilty of aggravated sexual intercourse without consent.'
The answer shortly is 'Yes', if you have a reasonable doubt as to the existence of the aggravating factor, but are satisfied beyond reasonable doubt that there was a sexual assault, then you would say when asked for your verdict, 'Not guilty of the offence charged, but guilty of sexual assault.' Such a verdict would mean that you are satisfied beyond reasonable doubt that the accused did have intercourse with her, that she did not consent and that he knew that she was not consenting, but that you were not satisfied that aggravation has been proved beyond reasonable doubt. Does that make it clear Mr Foreman?
FOREMAN: That's clear your Honour.
JURY RETIRED TO FURTHER CONSIDER ITS VERDICT AT 12.08PM."
5 The jury returned at 3.55pm. They acquitted on the count charged but convicted on the alternative count.
6 Ground 2 of the Notice of Appeal was:
"The appellant did not receive a fair trial and was denied procedural fairness when the statutory alternative count was left to the jury."
7 The appellant accepted that if this ground succeeded the appropriate order was an order for a new trial, not an acquittal.
8 The appellant submitted, first, that had the defence known that the alternative verdict was a possibility it would have cross-examined witnesses "with a view to developing submissions that the complainant put up resistance and had means of raising the alarm by means of her screaming or otherwise fighting off or discouraging an intruder". That argument fails. That type of cross-examination was just as open on the charge actually preferred from the outset.
9 The appellant submitted, secondly, that his counsel had been denied any opportunity to submit "that even without the presence of a knife or threats to her children, the jury might yet not be satisfied beyond reasonable doubt that the will of the complainant was overborne". That argument fails. Counsel for the appellant did not ask the trial judge for that opportunity when putting submissions about the possibility of an alternative verdict.
10 At a very late stage counsel for the appellant supplied the court with references to R v Pureau (1990) 47 A Crim R 230 and R v Heaton (CCA, unreported, Gleeson CJ, Priestley JA and Sharpe J, 1 June 1990). They were discussed in R v Quinn (CCA, unreported, Priestley JA, Wood and McInerney JJ, 31 July 1991). At pages 17-20 of that case, Priestley JA said, discussing R v Pureau:
"The principle in R v Pureau (unreported, Court of Criminal Appeal, 15 March 1990, Hunt, Enderby and Sharpe JJ) was relied on for this proposition. In Pureau, the appellant was charged with robbery in company with wounding. The jury found him not guilty of that, but guilty of attempting to commit that offence. No mention of an alternative verdict was made by the Crown Prosecutor in either opening or closing address, nor had counsel for the appellant addressed upon it; the issue was raised for the first time by the judge in his summing up. Hunt J delivered the principal reasons. He referred to R v Cameron [1983] 2 NSWLR 66, in which the availability of the alternative verdict had been raised by the trial judge for the first time during the course of an application for a directed verdict at the end of the Crown case. The court said: 'In a normal case where the Crown seeks an alternative verdict, this is a matter which is open to the jury and litigated by the parties from the commencement of the Crown case. To raise the question for the first time at the conclusion of the Crown case may in many cases produce an injustice to the accused unless the situation is as clear as it was, for example, in Coughlan's case [Court of Criminal Appeal, 26 August 1977]. It is, we believe, unwise for a trial judge to introduce these matters on his own initiative …' (at 71). Hunt J noted that he had been a member of the court in Cameron and stood by what was said in that case. He continued: 'The issue of alternative verdicts should be opened to the jury by the Crown. If the alternative verdict is not referred to then, it must be raised before closing addresses when the judge can rule whether the delay in raising it so late in the piece would be likely to cause injustice to the accused.
It must be conceded that the factual situation which gives rise to the prospect of an alternative verdict of attempt is often not apparent until the trial is under way. [He noted that that may have been so in the instant case, and continued.] The trial judge would therefore be more likely to conclude that the late raising of this particular alternative verdict had not prejudiced the accused. But it is difficult to imagine circumstances which would justify it being raised for the first time during the summing-up, when neither counsel had had at least the opportunity of addressing upon it if they had wished to." (at 8-9)
However, Hunt J did not base his eventual conclusion in Pureau on the late raising of the alternative charge. Indeed, he noted that the Crown had a good argument that, in the circumstances of the case, no actual miscarriage of justice was caused to the appellant by the alternative charge not having been raised before the closing addresses. Hunt J rested his opinion on the appellant's second point in the case, which was that the trial judge's directions to the jury gave them no assistance as to how they should consider the Crown case on the alternative charge. His Honour's view was that the conviction must be quashed.
Enderby J agreed with Hunt J, but added that he thought the most unfortunate aspect of the trial was the way in which the subject of attempt arose. He regarded what happened as being in the nature of an ambush. He said: 'Defence counsel had no opportunity to put submissions to the jury concerning this alternative serious charge that was being levied against his client. It had not been dealt with in the addresses; it had been sprung on both counsel for the Crown and counsel for the defence by his Honour. Because of that, this trial was not a fair trial.' Sharpe J agreed with Hunt J's reasons.
The appellant in the present case also relied in this court on R v Heaton (Court of Criminal Appeal, unreported, Gleeson CJ, Priestley JA and Sharpe J, 1 June 1990). In that case the appellant had been charged with stealing from the person. He was found guilty of the lesser offence of simple larceny. The possibility of a conviction for stealing never arose until after final addresses. The trial judge then indicated he proposed to direct the jury that there was available an alternate verdict of simple larceny. He proceeded to sum up on that basis. In the circumstances of the particular case, Sharpe J, who gave the leading reasons, was of the view that there was a gross procedural irregularity in the course followed by the trial judge. Gleeson CJ agreed saying that a combination of two circumstances caused the serious irregularity. The first was the possible alternative verdict having been first raised by the trial judge of his own motion after final addresses; the second was that in his summing up the trial judge gave inadequate instruction as to the varying possible views of the facts that might result in one verdict rather than the other. I simply said that I agreed. It seems to me that the effect of Pureau and Heaton read in the light of earlier cases on the same topic is this: when the possibility of the jury finding a verdict against an accused on a lesser charge than that in the indictment is raised for the first time by the trial judge in the course of summing-up, then the circumstances will be rare in which taking that course will not prejudice the accused. Nevertheless, it is possible that even in such circumstances, an accused will not be prejudiced. Whether or not a subsequent verdict against the accused on the lesser charge will be quashed will depend upon the appeal court's view whether prejudice was caused to the accused."
11 In R v Heaton, pages 8-9, Gleeson CJ said:
"There are in this case two circumstances which in combination, gave rise to a serious procedural irregularity. First, there is the circumstance that the subject matter of the possible alternative verdict was first raised by the learned trial judge of his own motion after the conclusion of final addresses.
Secondly, there is the circumstance that in his summing up his Honour informed the jury that it was open to them to find the appellant guilty of the lesser charge but gave them practically nothing by way of instruction as to the varying possible views of the facts of the case that might result in one verdict other than another. That was an important deficiency in the summing up and, I would add, it produced the clear risk that the jury might find the alternative verdict as a compromise without really understanding what was involved in their decision. That, in itself was something against which the jury should have been specifically warned."
12 The appellant advanced oral argument to the effect that the trial judge did not give the jury:
"any guidance as to how they might assess the evidence of the plaintiff should they be considering the statutory alternative.
We say his Honour did not relate the particular elements of the statutory alternative to the evidence, ie there was no direction [along] the lines that should you not find the accused guilty of aggravated sexual assault you would have to find beyond reasonable doubt that being woken up, dragged down the hallway, mouth covered, biting and screaming, were enough to satisfy.
He further could have given a direction; you may consider whether the production of the knife was what overbore her will, the complainant, or whether the actions up to that point did in fact beyond reasonable doubt overbear her will.
It was left to the jury to speculate as to how they might go about properly finding a verdict of sexual assault."
13 There is force in this argument. One matter in the present case which unquestionably could have caused prejudice was the failure of the trial judge to give directions as to the varying possible views of the facts that might result in one verdict rather than another. There was no specific warning against a compromise verdict on an ill-understood basis. Counsel for the appellant did not ask the trial judge for a warning of the kind Gleeson CJ described. However, since Gleeson CJ regarded what happened as "a serious procedural irregularity" and "an important deficiency" in R v Heaton, prima facie the appeal should be allowed. The Crown argued against this on the basis that the issue was whether failure to give a direction was unfair. It contended that the failure to give the directions in R v Pureau and R v Heaton was unfair because these cases were complicated, but the failure to give it here was not since the facts were simple. The Crown relied on Priestley JA's references to prejudice at the end of the passage quoted above from R v Quinn. However, R v Heaton was not particularly complex, turning on the difference between stealing and simple larceny. Gleeson CJ did not regard the case as one making the warnings unnecessary, and he used the strong language already quoted. Similarly, the present case was not so simple that the risk of prejudice which the warnings are designed to obviate did not exist. Indeed, in another part of the Crown argument, it was submitted that here there was "rather a complex circumstance of aggravation". Hence the failure to give the warning justifies allowing the appeal and ordering a new trial. The Crown did not submit that the proviso should be applied.
14 The only complaint in writing about the trial judge's directions made by the appellant was that there was no direction "as to how they might assess the credibility of the complainant should they entertain a doubt about her reliability in respect of one count. They might take that into account in assessing the reliability of the complainant in relation to another count." Since the appeal has been allowed in relation to the failure to give a R v Heaton warning, it is not necessary to consider this argument, which also underlay Ground 3. The argument could not justify any more favourable order than an order for a new trial.