2001
Revue internationale de droit pénal
The limitations on trial by jury
Peter Duff
[*]
It has frequently been observed that one of the most interesting things about
jury trial is how infrequently it takes place given the enormous significance with
which it is vested by the public, politicians and legal profession. For instance, in
England, trial by jury takes place in just over 1% of criminal cases and in
Scotland, the equivalent figure is just under 1%, yet the institution manages to
maintain immense political and symbolic importance. It is not my purpose here to
discuss this paradox.
[1] Rather, I wish to outline the various mechanisms that are
adopted in order to limit the number of jury trials. I shall illustrate my discussion
primarily with examples from England and Wales and from Scotland, simply
because these are the two jurisdictions with which I am most familiar. It is
interesting to note in passing that, in the main, the devices used to restrict the
number of jury trials are generally regarded as legitimate, despite the fact that in
numerical terms their impact is obviously so drastic. It is only occasionally,
usually in the context of a proposal further to limit the number of jury trials, that
such mechanisms are challenged. Unfortunately, it is beyond the scope of this
short paper to explore how it is possible to maintain the legitimacy of the rules
which deny a jury hearing to the vast majority of those accused of crime against
an ideological background which places such significance upon the benefits of
trial before a jury.
The ‘right’ to trial by jury may be limited by 1) the law itself, 2) prosecutorial
discretion, 3) judicial decision and 4) defence waiver. Most jurisdictions adopt
various combinations of some, or all, of these strategies. Each restriction upon
jury trial will be examined in turn.
In most jurisdictions, procedural criminal law dictates that only a small
minority of serious crimes are eligible for trial by jury. Otherwise, the criminal
justice process would simply not be able to cope with the volume of work and the
expense would be inordinate. For instance, in Scotland, the common law crimes
of murder, rape and one or two other much rarer serious offences, such as
treason, must be tried before the High Court - the highest criminal court - where
the judge always sits with a jury. There are then a wide variety of less serious
common law offences, such as assault, house-breaking, theft, etc, which may be
heard under either solemn procedure - in the High Court, or in the Sheriff Court
before a sheriff sitting with a jury - or, alternatively, under summary procedure - in
the Sheriff Court before a sheriff sitting without a jury, or in the District Court
before one or more magistrates. As regards statutory offences, very few of these
require prosecution under solemn procedure and thus guarantee trial by jury;
some are triable ‘either-way’ - to adopt the English terminology, but the majority -
for example, most road traffic offences - may only be prosecuted under summary
procedure, thus avoiding the involvement of a jury.
[2]
Similarly, in England, there are three categories of offence. First, very
serious crimes are triable only on indictment, which means in the Crown Court
before a judge and jury - primarily, murder, manslaughter, rape and wounding
with intent. Second, there are offences which are triable ‘either-way’ - in the
Crown Court, or in the Magistrates Court before a bench of magistrates rather
than a judge and jury. This category includes several very common offences
such as theft, burglary, and obtaining property by deception. As regards this
middle range of offences, the way in which the mode of trial is chosen is very
different from that in Scotland, as we shall see. Finally, there is a range of the
least serious offences - again mostly statutory - which are triable only in the
Magistrates Court - for example, most road traffic offences, non-payment of a TV
licence etc.
[3] Over the last twenty-five years or so, governments of all political
complexions have endeavoured with some degree of success to downgrade
various ‘either-way’ crimes to the category of offences triable only in the
Magistrates Court. The main reason has been to reduce costs, although there
has also been some concern about the higher rates of acquittal in the Crown
Court.
[4] For reasons that will become apparent, this type of adjustment has not
happened in Scotland despite the legal system being subject to the same
emphasis on cost-cutting and efficiency.
There are two principal ways in which the prosecutor may play a role in
determining the proportion and number of jury trials.
a) The prosecutor may play a direct role in selecting the mode of trial. In
many jurisdictions, it is the prosecutor who determines in which court ‘either way’
cases will be heard. This is particularly so in the civilian legal systems of
continental Europe, which tend towards an inquisitorial model of criminal
procedure and which usually possess a powerful and centralised public
prosecutor. For example, this is the situation in Scotland, which is often
categorised as a mixed legal system, incorporating elements of both the civilian
and common law traditions. While the criminal justice process is essentially of the
adversarial type, there has long existed a powerful public prosecutor with a virtual
monopoly on prosecution, very much along inquisitorial lines. The procurator
fiscal, as the Scottish prosecutor is termed, is described as ‘master of the
instance’,
[5] which means he decides whether to prosecute, what the charges are
and, most important from our point of view, the mode of trial, summary or solemn,
with a jury or without a jury.
[6] Unlike in many jurisdictions, the court has no say in
the matter and, unlike in England, neither does the accused.
The main factor taken into account by the procurator fiscal in determining
where to prosecute is the adequacy of the sentencing power of the court. For
instance, a minor assault, resulting in a black eye for the victim, would almost
certainly be prosecuted under summary procedure, where the maximum penalty
is three months for a first offence and six months in the case of a second or
subsequent offence of violence or dishonesty. Thus, such a case could not be
heard by a jury. On the other hand, a serious assault with a weapon, resulting in
severe injuries, would be likely to be prosecuted under solemn procedure in order
that a more severe sentence could be imposed. Thus, any trial would be held
before a jury. As in many other jurisdictions, there has been growing concern
over both the costs and delays involved in processing cases through the higher
courts. Hence, recent legislation allows an increase in the summary sentencing
power of the Sheriff from three months to six months in the case of first offences,
and six to twelve months in the case of second or subsequent offences.
[7] If this
provision is implemented, it will enable the prosecutor to avoid the possibility of
trial by jury in a wider range of cases, thus achieving the same object as the reclassification of cases south of the border.
Thus, in Scotland, subject to legislative constraints, the prosecution has
complete control over the decision whether an accused should be tried before a
jury or not. In contrast, in England and Wales, the prosecution has no say in the
matter. Presumably this is largely for historical reasons, in that there is no history
of public prosecution in England, prosecutions being brought originally by private
citizens and, more recently, largely by the police. It is only recently that a
centralised system of public prosecution - the Crown Prosecution Service - was
set up and this has not as yet attracted sufficient confidence to be entrusted with
the task of determining mode of trial.
[8]
2) The second way in which the prosecutor can affect the incidence of jury
trial is less direct but equally significant. In common law jurisdictions, which
mostly adopt an adversarial model of trial, the accused is entitled to plead guilty,
thus avoiding the prospect of a trial, whether before a jury or otherwise. This has
led to ‘plea-bargaining’, whereby the defence will negotiate a guilty plea with the
prosecution in exchange for either a reduced sentence or for reduced charge(s),
resulting in a reduced sentence. This phenomenon has generated much
academic comment and criticism.
[9] Plea-bargaining is relevant here because it
can, in practice, give the prosecutor a considerable degree of influence over
whether the accused exercises his option to put his case to a jury. Obviously, the
prosecutor’s control over the nature of the charges faced by the accused and his
attitude towards bargaining with the defence are highly influential over the
accused’s decision whether to go to trial or whether simply to plead guilty.
Variants of plea-bargaining exist in both Scotland and England, principally
revolving around negotiations over the exact type of charge to which the defence
is willing to plead guilty. In contrast, in the inquisitorial systems of continental
Europe, the phenomenon does not exist because, in theory, there is no such thing
as a guilty plea. Thus, the accused cannot waive the need for a trial and
consequently is not in position to enter negotiations with the prosecutor.
[10]
In some jurisdictions, the court has a say in determining whether there
should be the possibility of trial by jury. In Scotland, the court has no such right.
As noted above, where the law leaves the issue open, it is solely the prosecution
which decides whether the case should be prosecuted under summary or solemn
procedure and the Scottish courts may not decline jurisdiction. In contrast, in
England and Wales, all cases start in the Magistrates Court and as regards
‘either-way’ offences, initially the magistrates must determine whether to accept
jurisdiction or to commit the case to Crown Court for trial before a jury. Both the
prosecution and defence have the right to make representations as to the mode
of trial. In making their decision, the magistrates will take into consideration the
nature of the case, their sentencing powers, various other factors set out in the
relevant legislation.
[11] As the next section will explain, the English defendant has
traditionally had the right to veto a decision by the Magistrates Court that it may
appropriately hear a case.
Again, whether the accused has a say in determining the mode of trial varies
from jurisdiction to jurisdiction, although to give the accused such a right is
relatively uncommon. In this respect, Scotland is typical. As explained above,
the venue is entirely in the hands of the prosecutor subject to the constraints
imposed by the law. In contrast, in England, the accused has the final say in
‘either-way’ cases as to whether his trial will take place before a jury or not. If the
Magistrates Court is prepared to accept jurisdiction, it is then up to the accused to
decide whether he is content to be tried there or whether he wishes his case to be
heard by a jury. Effectively, therefore, the accused can insist on trial by jury as
regards a large number of relatively minor offences. Recent governments have
been trying to curtail this right, again largely for reasons of resource but such
attempts have met heavy resistance as an alleged attack on the civil liberties of
defendants.
[12]
Another form of defence waiver exists in federal cases in the United States,
where the defendant, if both the prosecutor and the court agree, may choose to
waive a jury and have the case heard by the judge sitting alone. This differs
considerably from the English position as regards ‘either-way’ offences because :
1) it is the prosecutor who initially decides upon the mode of trial; 2) the possibility
of waiver only applies in those serious cases which have already been allocated
to be heard before a judge and jury; 3) the case is heard in the same venue and
under the same type of procedure as it would be were a jury involved; and 4) both
the court and the prosecutor can effectively veto the defendant’s request and
insist that the trial takes place before a jury.
[13] Many of the state jurisdictions also
allow the defence to waive jury trial and practice varies as to whether the consent
of the court and/or prosecution is needed.
Thus, for the purely practical reason of conserving resources, there are
various ways in which the number of jury trials is limited to a very small minority of
all criminal cases. Most jurisdictions adopt various combinations of these
methods but the resulting mixtures vary widely. At risk of generalising, the
present trend in the common law jurisdictions is towards further reducing the
number of jury trials by increasing the scope of these limitations. Such attempts
to cut costs are often very controversial and are frequently portrayed as an attack
on the integrity of the institution of trial by jury. Each jurisdiction, almost
inevitably, tends to assume that its present practice represents the natural or right
way of determining which cases should go to trial by jury and that any change,
albeit an adjustment which mirrors practice elsewhere, is illegitimate. This is
illustrated by, for instance, the current debate in England over the proposal to
abolish the ‘right’ of the defendant to elect jury trial (see above) despite the fact
that this ‘right’ does not exist in most other jurisdictions. This and other similar
controversies do, however, illustrate that the gap between jury practice and jury
ideology can be difficult to manage because the legitimacy of the varying regimes
that serve to limit trial by jury to such a small proportion of criminal cases are, for
obvious reasons, always vulnerable to challenge.
·
ASHWORTH A., 1998, THE CRIMINAL PROCESS : AN EVALUATIVE STUDY (2nd ed),
OUP : Oxford.
·
BLACKSTONE, 1999, CRIMINAL PRACTICE (9th ed), Blackstone : London
Darbyshire P., 1991, The Lamp that Shows that Freedom Lives - Is it Worth the
Candle ?, CRIMINAL LAW REVIEW 740
·
Duff P., 1999, The Prosecution Service : Independence and Accountability in DUFF
P AND HUTTON N, CRIMINAL JUSTICE IN SCOTLAND, Dartmouth : Aldershot, p.
115.
·
Duff P. and Findlay M., 1982, The Jury in England : Practice and Ideology,
INTERNATIONAL JOURNAL OF THE SOCIOLOGY OF LAW 253
·
Duff P. and Findlay M., 1997, Jury Reform : of Myths and Moral Panics, 25
INTERNATIONAL JOURNAL OF THE SOCIOLOGY OF LAW 363
·
Home Office, 1998, Determining Mode of Trial in Either-Way Cases - A
Consultation Paper, Home Office : LondonHoulder B., 1997, The Importance
of Preserving the Jury System and the Right of Election for Trial, CRIMINAL
LAW REVIEW 875.
·
MC BARNETT D., 1979, CONVICTION, Macmillan : London
McConville M., 1998, Plea Bargaining : Ethics and Politics, JOURNAL OF LAW AND
SOCIETY 562.
·
NAREY, 1997, REVIEW OF DELAY IN THE CRIMINAL JUSTICE SYSTEM, HMSO : London
Remington F., 1993, The Decision to Charge, the Decision to Convict on a Plea of
Guilty, and the Impact of Sentence Structures on Prosecution Practices in
OHLIN L AND REMINGTON F, DISCRETION IN CRIMINAL JUSTICE.
·
RENTON AND BROWN, 1996, CRIMINAL PROCEDURE (6th ed), W Green : Edinburgh
[*]
Law Department, Aberdeen University
[1]
See MC BARNETT D., 1979, CONVICTION
, Macmillan : London; Duff P. and Findlay M., 1982,
The Jury in England : Practice and Ideology, INTERNATIONAL JOURNAL OF THE SOCIOLOGY OF LAW, 253;
Darbyshire P., 1991,
The Lamp that Shows that Freedom Lives - Is it Worth the Candle ?, CRIMINAL
LAW REVIEW, 740; Duff P. and Findlay M., 1997,
Jury Reform : of Myths and Moral Panics, 25
INTERNATIONAL JOURNAL OF THE SOCIOLOGY OF LAW, 363.
[2]
For a full account of the above rules, see RENTON AND BROWN, 1996, CRIMINAL PROCEDURE
(6th ed), W Green : Edinburgh, chap 1.
[3]
See BLACKSTONE, 1999, CRIMINAL PRACTICE (9 TH ED ), BLACKSTONE : LONDON, 1039-1067.
[4]
See Ashworth A., 1998, The Criminal Process : An Evaluative Study (2nd ed), OUP :
Oxford, chap. 8.
[5]
Boyle v HMA 1976 JC 32, at p. 37.
[6]
For a short description of the Scottish prosecution system, see Duff P., 1999,
The
Prosecution Service : Independence and Accountability in DUFF P AND HUTTON N, CRIMINAL JUSTICE IN
SCOTLAND
, Dartmouth : Aldershot, p. 115.
[7]
Crime and Punishment (Scotland) Act 1997, § 13.
[8]
See ASHWORTH A., 1998, THE CRIMINAL PROCESS : AN EVALUATIVE STUDY (2nd ed), OUP :
Oxford, chap 8; Home Office, 1998.
[9]
ASHWORTH A., 1998, THE CRIMINAL PROCESS : AN EVALUATIVE STUDY (2nd ed), OUP :
Oxford, chap 9; McConville M., 1998,
Plea Bargaining : Ethics and Politics, JOURNAL OF LAW AND
SOCIETY, 562; Remington F., 1993,
The Decision to Charge, the Decision to Convict on a Plea of
Guilty, and the Impact of Sentence Structures on Prosecution Practices in OHLIN L AND REMINGTON F,
DISCRETION IN CRIMINAL JUSTICE..
[10]
In practice, as regards less serious offences, there are various devices that arguably
perform a similar function to plea-bargaining but they need not concern us here because in any
discussion of trial by jury, the concern is with the most serious offences.
[11]
§ 19 of the Magistrates’ Court Act 1980 and the
National Mode of Trial Guidelines issued
by the Lord Chief Justice (
See BLACKSTONE, 1999, CRIMINAL PRACTICE (9 TH ED ), BLACKSTONE :
LONDON , 1051).
[12]
See NAREY, 1997, REVIEW OF DELAY IN THE CRIMINAL JUSTICE SYSTEM
, HMSO : London, 31-35; Houlder B., 1997,
The Importance of Preserving the Jury System and the Right of Election for
Trial, CRIMINAL LAW REVIEW, 875 ; ASHWORTH A., 1998, THE CRIMINAL PROCESS : AN EVALUATIVE STUDY
(2nd ed), OUP : Oxford, chap 8; Home Office, 1998 : §§ 25-31.
[13]
Singer v United States, 380 U.S. 24.