2001
Revue internationale de droit pénal
The lay assessor system in China
Liling Yue
[*]
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
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.
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.
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.
[*]
China University of Political Science and Law, Beijing.
[1]
§ 47 Criminal Procedure Law (CPL).