Revue internationale de droit pénal
érès

I.S.B.N.2-86586-990-3
638 pages

p. 51 à 56
doi: 10.3917/ridp.721.0051

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Vol. 72 2001/1-2

 
I. Jurisdiction of the Lay Assessor Courts
 
 
In China, the jurisdiction of the lower courts, the higher courts and the Supreme Court is outlined by the criminal procedure law in a very general way. Only the jurisdiction of the intermediate courts is specific, including cases of endangering state security, ordinary cases punishable by life imprisonment or the death penalty, and cases in which the accused is a foreigner. Lower courts try most minor cases. Higher courts and the Supreme Court try the cases that may be of importance to the whole province or the nation.
Criminal cases in the first instance are tried by professional judges or a mixed court, depending on the law and the discretion of the court. Appeals and review of capital cases are handled by professional judges. The idea of having lay assessors try cases together with professional judges is recognized as the right of the public to participate in the administration of justice, not as the right of the defendant to be tried by his or her peers.
 
II. Composition of the courts
 
 
Section 47 of the Criminal Procedure Law provides that the lower courts or intermediate courts try first instance cases, conducted by a collegial panel composed of three judges or judges and assessors. If the case is to be tried with summary procedure, a single judge sits alone. If the first instance case is tried in the Higher Courts or the Supreme Court, the collegial panel is composed of three to seven judges or same number judges with assessors. Appeals are conducted by a collegial panel composed of three to five judges, without assessors.
 
III. Role of the Lay Judges in the taking of Evidence
 
 
The reformed criminal procedure law constitutes a move from inquisitorial model to the adversary trial by making the judge’s role less dominant and active as before. Under the former criminal procedure code, after the prosecutor read the accusatory pleading, the judge questioned the defendant, called the witnesses, read the testimonies of the witnesses who were absent, and presented other evidence.
The new law has been changed such that, after the accusatory pleading has been read, the defendant and the victim may make opening statements responding thereto, then the prosecutor, and the other participants with permission from the presiding judge, may question the defendant and the witnesses. The law makes the judge the last to question the defendant.
However, this is not the typical form of adversary trial. No matter which side presents their evidence, the prosecutor always begins the questioning. Although the criminal procedure law stresses that “the testimony of a witness may be used as a basis in deciding a case only after the witness has been questioned and cross-examined in the courtroom by both sides, that is, by the public prosecutor and victim as well as the defendant and defense counsel, and after the testimonies of the witnesses on all sides have been heard and verified.” [1] In practice, very few witnesses are called to testify, and even if they are called, few testify at trial. The legal problem is that the law only encourages witnesses to testify at trial, but when witnesses refuse to testify, there are no measures with which to compel them.
The criminal procedure law provides that professional judges and lay assessors enjoy the same rights when they make decisions. That means they determine the truth of the charge and sentence together. Under the current lay assessor system, the lay assessor’s function is very weak. The professional judges play a dominant role. Lay assessors are influenced by the professional judges and are passive during the trial. Normally, the presiding judge decides in advance which lay assessor should read which testimony. Even if lay assessors have a different opinion about the case, professional judges may try to convince them with their own knowledge. This happens even when lay assessors are a majority on the panel. There is a saying in China to describe the role of lay assessors. They are the ears of the deaf----like furniture or decoration.
Under section seven of the Criminal Procedure Law, the civil suit can be attached to the criminal trial. The new code of Criminal Procedure has also changed the victim’s role from that of a special witness to being one of the parties. The victim enjoys almost all the rights which the other parties have. During the trial, with the permission of the presiding judge, the victim can question the defendant, and the witnesses, and they have the right to request that new witnesses be called, new evidence be obtained, or a new expert evaluation be made. [2]
 
IV. Which Factual and Legal Questions must the Lay Judges decide and how are they formulated
 
 
Lay assessors in China are advised by the professional judge on evidentiary issues and the applicable law. This is done not in open court but in the secrecy of chambers during deliberations. There is no transcript thereof for appellate purposes. The parties have no influence on how the law is applied in the deliberations. Doubtful questions need not be answered. If there are arguments, the parties may only address the panel, they may not ask the lay assessors to resist the professional judge. In most cases, the lay assessors are totally controlled by the professional judges.
 
V. Deliberation and Deciding Questions of Fact, Law and Guilt
 
 
The Criminal Procedure Law and the Organic Law of the Courts do not describe the procedure of deliberation in a detailed way. Deliberations are carried on in secret. We believe that professional judges play a dominant role during the deliberation. They not only lead the deliberations, but also influence it greatly. With the revised Criminal Procedure Law, the judge does not receive the entire investigative dossier and evidence before the trial. There is a Regulation on Implementation of the Criminal Procedure Law provides that all the evidence which they presented during trial should be submitted to the court shortly after the trial. Generally, professional judges and lay assessors have the opportunity to read some parts of the investigative dossier during deliberation. In practice, lay assessors seldom go against the will of professional judges. Even if the lay assessors want to ignore the law and acquit, they are hardly ever successful
 
VI. The Judgement
 
 
Generally the written judgement is formulated by professional judges, and then submitted to lay assessors for approval and signature. In practice, it sometimes happens that the professional judge is outvoted by the lay assessors (when the penal is composed of one professional judge and two lay assessors ). Then the case may be considered to be a difficult case and the collegial penal has the right to submit this case to the judicial committee for discussion and decision. Finally, the written judgement would be formulated by the professional judge according to the decision of the judicial committee.
There are two ways to pronounce the judgement. It may be pronounced the same day after the decision has been reached. The law requires that the written judgement be delivered within five day to the parties and prosecutor. The judgement may also be pronounced later on a fixed date. This date is subject to time limitations provided by law. Models for judgements have been formulated by the Supreme Court. The judgement should summarize the opinions of the prosecutor, defendant and defense council; and then state the opinion of court as to the facts, circumstances and evidence. If the positions of prosecutor and defense conflict, the court should analyze and evaluate them. Finally, the court should make its own conclusion as to whether the defendant is guilty or not; which offense the defendant has committed; what the circumstances are; and then, if guilty, what sentence the defendant should receive.
 
VII. The Appeal
 
 
According to the criminal procedure law, if the defendant, private prosecutor or their legal representatives refuse to accept a judgement or order of a first instance trial court, they shall have the right to appeal. The reason for appeal could be any disagreement with the judgement. It may include a judgement of acquittal, because of disagreement with the facts upon which the judgement is based. New evidence may be adduced in the appellate court when appeal is based on the lack of clarity of the facts in the original judgement.
When there is a finding of a procedural violation it may result in reversal of the original judgement and remand the case to the original trial court for retrial. This happens in the case of : 1) violation of the right to a public trial; 2) violation of the rule that judges, prosecutors and investigators who may have a special relationship with the parties should be challenged and withdraw from the case; 3) violation of the procedural rights of parties prescribed by law, which may deprive the defendant of a fair trial; 4) the trial court lacks jurisdiction.
In China the appellate trial in the second instance is final. Both questions of fact and law may be reviewed in the second instance trial. The case, whether appealed by the parties or protested by prosecutor, is tried by a collegial panel composed of three to five judges.
 
VIII. WHO ARE THE LAY JUDGES AND HOW ARE THEY SELECTED
 
 
Section 38 of the Organic Law of the Courts provides that “ citizens who have the right to vote and stand for election and have reached the age of 23 shall be eligible to be elected as lay assessors; however, persons who have once been deprived of political rights shall be excluded.” In practice, most of the lay assessors are nominated by working units and selected by courts. The Organic Law does not provide in a detailed way which classes or professions should be excluded, and it also doesn’t provide language or educational requirements. In practice some of house wives have not been able to read the written testimonies of the witnesses.
With the new trends of lay assessor system reforms, some courts in big cities such as Beijing, courts have started to select better educated people. According to one report, among the 120 new lay assessors selected in an intermediate court, 97% had three years of higher education. Another trend is that courts are selecting experts for trying special kinds of cases.
Lay assessors can be challenged for cause as may professional judges. The duration of lay assessor’s service differs in different places, the trend being a term of several years.
 
IX. The History of Lay Assessor in the Criminal Trial
 
 
Until the end of Qing Dynasty, China had no jury or lay assessor system. A famous law reformer, Mr. Shen Jia Ben was appointed to lead the law reform work in 1902. He was influenced by Western law and thought that because a single judge’s knowledge was insufficient in complicated cases, the jury system should be introduced in China. In the Qing Criminal, Civil Procedure Law detailed provisions were made relating to the duties of jurors and how they were to be selected. Unfortunately this law was not enacted and brought into force. Shortly after the People’s Republic of China was found in 1949, the Provisional Regulation of the Organic Law of the Courts was enacted, which introduced the lay assessors system. In 1954 the lay assessor system was given constitutional status. This legislation was influenced by the former Soviet system. The reason for introducing the lay assessor system was to have citizens participate in the administration of justice.
 
X. Criticism of Lay Participation in Scholarly Writings and the Public Sphere
 
 
In general, the Chinese lay assessor system has not functioned well during the last decades, and this is the reason reforms are being considered. The main problem is that lay assessors in most cases are influenced by professional judges. In fact, the mixed court with lay assessors functions no differently than a court with a single judge. It is considered as surplus decoration. In quite number of cases, professional judges think that it may be a waste of time and financial sources to use a mixed court. Therefore, in 1983, the Organic Law of the Courts was revised. Under the former law, except for minor criminal cases which could be tried by single judge, all other cases in the first instance were tried by a collegial panel of judges and lay assessors. Now cases of first instance shall be tried first by a collegial panel of professional judges, and then, in the second instance, by judges with lay assessors. These changes show that the courts find it difficult to have all cases tried by judges and lay assessor together.
 
XI. Reform Proposal
 
 
A reform proposal will soon be submitted in China relating to the jury or lay assessor system. The discussions are ongoing. There are two main ideas : One suggests that China should set up the jury system, since some experts believe that lay assessors cannot escape the control and influence of professional judges and play an independent role in the judicial system. They are afraid that lay assessors would retain their decorative role. Furthermore, the Chinese Criminal Procedure law reform has moved towards the adversary trial, judges should not play the dominant role at trial, therefore, jury trial may fit this reform better. The second idea is to keep the lay assessor system and try to make it function in a better way. It seems like the latter idea may be easier for the courts to accept. Some judges think China has no jury trial tradition and that jury trial also costs too much.
 
NOTES
 
[*]China University of Political Science and Law, Beijing.
[1]§ 47 Criminal Procedure Law (CPL).
[2]§ 159 CPL.
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[*]
China University of Political Science and Law, Beijing. Suite de la note...
[1]
§ 47 Criminal Procedure Law (CPL). Suite de la note...
[2]
§ 159 CPL. Suite de la note...