CRIMINAL TRIAL REFORM CONFERENCE

Dinner Speaker: Professor Warren Young

At the Conference dinner on Friday evening, I will be briefly presenting some of the findings of a recent research project on juries which we have conducted in New Zealand, and will particularly focus on how the research relates to some of the reform options being considered at this conference.

A full synopsis of the research, which was conducted in collaboration with the New Zealand Law Commission, has been published by the Commission (Juries in Criminal Trials Part Two :a Summary of Research Findings) . It can be obtained from the Commission at P.O Box 2590, Wellington or is accessible on the Web at www.lawcom.govt.nz.

In addition to the presentation which I make (which will cover only a small part of the issues thrown up by the research), I thought that it might be helpful if I were to circulate in advance some of the broader reform options being mooted in New Zealand in response to the research findings. I attach a document setting out some of those options. They are in the early stages of discussion and do not necessarily represent the views of the Law Commission, the judiciary or the Government. I realise that some of them are not applicable to every jurisdiction in Australia. However, I hope that they provide a useful guide to the sorts of issues which according to the research findings need to be addressed.

I would be happy to discuss any of these options further, or to provide additional information, upon request.

SESSION 1: POSSIBLE CHANGES TO JURY TRIAL PRACTICE

 

1. QUESTIONNAIRES TO THE JURY POOL IN SPECIFIC CASES

Issue

Although the research suggests that jurors rarely recollect any details of pre-trial publicity and deny that it has any impact upon them, there is always the possibility that jurors who have a preconceived view of the case either from prior publicity or from their own personal experiences will end up on the jury.

Possible solution

In high profile cases or other cases where it is in the interests of justice to take special precautions to identify potential bias, the judge either on his or her own motion or on application from either party may give a written questionnaire to the jury pool before final balloting, containing questions designed to show whether any juror may not be impartial. If there is any doubt about impartiality as a result of the responses given, the judge may ask further oral questions of the juror before deciding whether to excuse that juror.

Advantage

The possibility of bias resulting from pre-trial publicity or other factors will be reduced.

Disadvantages

(a) It is doubtful whether written questionnaires are likely to elicit responses that demonstrate the existence of bias.

(b) As a consequence, written questionnaires will need to be supplemented by oral questions from the Judge where any doubt is raised by the written responses, thus significantly prolonging the process of selecting a jury.

  1. It might be difficult to determine the sorts of cases in which such questionnaires ought to be given, and judges might find themselves under pressure from counsel to use them on a widespread basis.
  2. When judges declined to give questionnaires, this would provide grounds for argument on appeal and would thus have the potential to increase the number of appeals.

 

Comment

Questionnaires are routinely used in the US Federal jurisdiction as an alternative to the more extensive voir dire procedure in State trials. In the United Kingdom, questionnaires were employed in the Maxwell trial as a means of eliciting potential bias.

 

2. MORE EXTENSIVE SCREENING FOR LANGUAGE DIFFICULTIES

Issue

The information accompanying the summons and the jury video advises in several languages that jurors who do not have a good understanding of English will be excused from jury service. Notwithstanding this, a number of people who do not understand or speak English well enough for the purposes of jury service still end up on juries – in the juries research, eight jurors in seven different trials.

Possible solution

After the jury is empanelled, the Judge should instruct the jury that they should take a few minutes to get to know each other and to confirm that all members of the jury have sufficient grasp of English to discharge their responsibilities. Under present procedure, this could be done when the foreperson is selected; if the procedure is changed so that the foreperson is selected at a later stage in the trial, it could be done while the jury takes a brief adjournment at the commencement of the trial.

Advantage

Jurors who are unable fully to comprehend the evidence or participate in jury deliberations will be more likely to be discharged at the commencement of the trial.

Disadvantage

When jurors with language difficulties are discovered at this stage, there will need to be a further balloting process to select an alternate juror, so that the remainder of the jury pool (or at least two or three reserve jurors) will need to be kept at the Court for this process.

Comment

It might be preferable for more effort to be made by court attendants to ensure that jurors are proficient in English when they first check in. Whether this would resolve the problem is debatable.

3. PROVIDING AN OPPORTUNITY FOR JURORS TO SEEK TO BE EXCUSED

Issue

Some jurors find it unduly stressful to sit on particular sorts of trials because of their own previous experiences or their personal situation. This can both affect their ability to assess the evidence impartially and impose an unfair emotional burden upon them. While jurors can approach the judge and ask to be excused when they have learned of the nature of the trial, they may not know that they are entitled to do this and are not generally given an explicit opportunity to do so.

Possible solution

Before the remainder of the jury pool leave the courtroom, the empanelled jurors should be told that, if they will be unable to judge the case fairly and impartially or if they will find the trial unduly stressful, they should approach the trial judge with a view to being excused.

Advantages

(a) Jurors who will be unable to assimilate and assess the evidence properly because they find it unduly distressing will have the opportunity to be excused.

(b) There will be less danger that jurors are swayed by personal prejudices in their assessment of the evidence and in their decision-making.

Disadvantages

(a) If significant numbers of jurors seek leave to be excused for these reasons, it will make further inroads into the random nature of jury selection.

(b) It might be difficult to develop consistent criteria to govern the exercise of such a discretion to excuse, and judges might have difficulty in assessing whether a juror should be excused – for example, because they say that they will find the gruesome nature of the case particularly distressing.

  1. In sexual offence cases, a disproportionate number of women may end up being excused, resulting in a gender bias in the composition of the jury.
  2. After empanelling, jurors might be embarrassed into silence and refrain from approaching the judge even if given an explicit opportunity to do so.

Comment

The grounds upon which the judge can excuse jurors under sections 15 and 16 of the Juries Act 1981 are unduly narrow. If the solution proposed above were to be adopted, therefore, some amendment to the Juries Act enabling judges to excuse jurors for any reason in the interests of justice would be desirable.

 

4. PROVIDING ADEQUATE TIME FOR JURORS TO ADJUST

Issue

A significant minority of jurors take an appreciable time both to get over their surprise and shock at being on a jury or at the type of case they have drawn and to focus on the opening stages of the trial. While they know that there is a possibility that they will get on a jury, many go to court in the expectation that they will not be balloted, so that the fact that they are sitting on a jury is both unexpected and occasionally overwhelming. As a result, both the judge’s opening comments and the Crown opening may well go unheard by some jurors and largely unattended to by a more significant number.

Possible solution

After the jury has been empanelled and the accused has been given in charge, there should be an adjournment (where appropriate in lieu of the normal morning adjournment) to enable to jury to get to know each other, to make such work, childcare and other family arrangements as are necessary and adjust psychologically to the fact that they are on a jury.

Advantages

(a) Jurors will be more likely to absorb the information provided to them in the initial stages of the trial, since they will have been eased into the process more gently.

(b) Jurors will be less likely to be thinking about their domestic situation or the fulfilment of work obligations in the initial stages of the trial, since they will have been given an opportunity to make necessary arrangements in this respect.

Disadvantages

(a) The commencement of the trial will be delayed for half an hour or so (although this disadvantage can be mitigated if the adjournment is combined with the morning tea break).

(b) It might be argued that in trials which last for no more than one day, jurors should have made arrangements to be available for the length of the trial, and that any delays to enable them to take care of work or domestic responsibilities would be both unnecessary and unduly disruptive.

Comment

Over the last twelve months a number of trial judges throughout the country have been adopting this practice (especially in longer trials), and have generally reported that it seems to work well and does not unduly impede the progress of the trial.

  1. MORE UNIFORM ADVICE FROM THE JUDGE TO THE JURY AT THE BEGINNING OF THE TRIAL

Issue

At present the extent to which judges at the commencement of the trial provide general directions to the jury about their role and conduct during the trial is variable, with some judges making extensive comments and others making only cursory remarks. Not infrequently, court takers fill in what they perceive to be gaps in the judge’s remarks.

Possible solution

The jury should be provided with uniform general instructions on such matters as note-taking, communications, question asking, the fact that they are to ignore publicity, the fact that they are not to make any external inquiries etc.

Advantages

(a) General directions will be based upon some consensus as to best practice in this respect.

(b) The temptation for court takers to provide their own instructions will be reduced.

Disadvantages

(a) Instructions – even on matters such as note-taking and question asking – may need to vary according to the nature and length of the trial, and uniform general directions might inhibit judges from tailoring their directions to the circumstances of their particular case.

(b) Uniform general directions, at least if there is an expectation that they will be slavishly followed, may reduce the perceived spontaneity of the judge’s opening remarks.

Comment

The revised Bench Book provides a checklist covering the judge’s opening comments but provides relatively little detail as to the content.

 

6. IDENTIFICATION OF ISSUES IN DISPUTE

Issue

Jurors sometimes find it difficult to assimilate, evaluate and interpret the evidence in a case because they do not receive an adequate factual "framework" at the start of the trial. They are forced to sift the evidence and to determine what weight to place upon it without knowing what the issues in dispute are. This is because, to the extent that the defence has a "story" or narrative which it wishes to present, this only emerges towards the end of the trial and even then is, or is liable to be perceived as, incomplete. Even though most jurors are willing to change their view in the light of evidence presented by the defence, their version of events is inevitably based on a partial recollection of the earlier evidence. That recollection is itself determined by a process of filtering and compartmentalisation dictated by the inadequate factual framework which they have in mind at the commencement of the trial. This may be one of the reasons why jurors often find that their notes of evidence do not correspond, or that they have written down and highlighted quite different points.

Possible solution

There should be a process which enables the identification of issues in dispute on a more systematic basis at the commencement of the trial. There are several options for achieving this:

Advantages

(a) Because jurors will sometimes have a more complete factual framework in mind from the outset of the trial, they are less likely to misinterpret the evidence or to construct a "narrative" which is based on an erroneous view of the issues in dispute. They are also more likely to understand, and perceive the purpose and relevance of, cross-examination.

(b) Where facts are formally admitted, trial time will be reduced.

(c) Because jurors will be able to focus on the issues in dispute during the trial and to reach an informed view of the evidence as it is being presented, deliberation time will be reduced.

Disadvantages

(a) Some defence counsel may refuse to cooperate with such a regime, and many may be inclined to respond that every issue is in dispute or to respond in such general terms that little assistance is in fact provided to jurors.

(b) Involvement by the judge in identifying the issues in dispute prior to the trial may raise the objection that the judge is descending too much into the trial arena and losing his or her objectivity.

Comment

A specific provision authorising an early defence opening before the presentation of the prosecution case is likely to be included in an omnibus Crimes/Criminal Justice Bill to come before Parliament later this year. Beyond that, no statutory change is required to implement this proposal unless formal pleadings are to be required. An identification of issues in dispute may, but need not, amount to a formal admission under section 369 Crimes Act. Where it does not amount to such a formal admission, the judge or the prosecutor (in the light of the advice provided by the defence) can indicate to the jury what the focus of the trial is likely to be, but the prosecution would still carry the onus of proof in respect of all of the elements of the offence. Thus, in the event that the prosecution case did not come up to brief in some respect not envisaged when the issues in dispute were initially identified, it would be open to the accused to argue that he or she should be acquitted on that ground.

 

7. PROVIDING JURORS WITH AN OPPORTUNITY TO ASK QUESTIONS OR SEEK CLARIFICATION AT THE END OF A WITNESS’S ORAL TESTIMONY

Issue

The vast majority of jurors want to ask questions or seek clarification during the course of testimony in a trial, but do not generally do so, either because they believe that they are not entitled to or because they lack the confidence and are fearful of appearing foolish. While some of their queries are irrelevant, inadmissible or answered by subsequent testimony, others are relevant and directed towards issues which have been presented confusingly or have been overlooked or deliberately omitted by counsel. In these instances, they often believe that they are not getting "the full story".

Possible solution

At the conclusion of the evidence of each witness, jurors should be invited to put any questions they may have to the Judge in writing. The Judge would then have the discretion whether or not to ask those questions.

Advantages

(a) Because at least some of the jury’s queries about the evidence will be addressed, they will be less likely to speculate or to try and fill in the gaps for themselves.

(b) Jurors will less often feel that evidence is deliberately being withheld from them.

(c) Jurors’ questions will provide a pointer to their concerns and areas of confusion, and thus give counsel the opportunity to address those through subsequent testimony or the closing address.

Disadvantages

(a) Jurors will sometimes ask questions which are irrelevant or inadmissible, and may feel frustrated when these questions are not asked.

(b) If too many questions are asked, this may prolong and disrupt the trial.

(c) If questions are directed at witnesses through the Judge which counsel deliberately refrained from asking, this might interfere with trial strategy and be seen as undue intrusion upon the right of the parties to conduct their cases as they see fit.

(d) There will need to be either an adjournment, or a pause in proceedings, at the end of each witness’s testimony to enable jurors to formulate any questions they may have.

Comment

Jurors have been given the explicit opportunity to ask questions in a number of North American jurisdictions, and the judicial experience (supported by research evidence) has been that they ask questions sparingly, and that the questions they do ask are generally relevant.

As an alternative to the proposal that the Judge ask the questions at his or her discretion, the Judge could first determine whether the questions are relevant and admissible and hand them to counsel and leave it to them to decide whether to ask those questions.

 

8. PRESENTATION OF EVIDENCE IN WRITTEN FORM

Issue

Particularly in longer and more complex trials, a significant number of jurors have difficulty in concentrating upon, assimilating and recalling evidence presented by way of oral testimony. This both produces disagreements within the jury room about the nature of the evidence presented, and prolongs and reduces the quality of jury deliberations.

Proposed solution

Where the evidence of witnesses (other than complainants or the accused) is detailed, complex or lengthy, it should with the leave of the Judge be provided to the jury in written rather than oral form, and they should be given an opportunity to read it before cross-examination.

Advantages

(a) The evidence can be presented in a written narrative form which is more easily assimilated and can be read and interpreted by the jury at their own speed. Some of the problems of concentration and recall which a significant minority of jurors currently experience will be ameliorated.

(b) Trial time is likely to be shortened, especially in courts where stenographers are still recording evidence in the traditional way.

Disadvantages

(a) The ability of the jury to assess the credibility of the witness from his or her body language and demeanour during examination in chief (as distinct from cross-examination): the benefits of oral testimony in this respect will be lost.

(b) There may be a danger that evidence in written form will lose some of the spontaneity of oral testimony and will be rehearsed, sanitised and "constructed into a coherent story" rather than reflecting the actual recollections of the witness.

(c) There could be no certainty that all jurors would read evidence provided in written form. (However, there is no certainty that they listen to oral testimony. If they are more likely to listen than to read, the written evidence could be read by the witness.)

(d) If jurors have the evidence-in-chief but not cross-examination in written form, this might produce bias. (However, this problem would be overcome if jurors were provided with the written transcript.)

Comment

No statutory change would be required. The witness would be appearing in court, confirming the written evidence as his or her own and being available for cross-examination.

 

9. THE PROVISION OF THE TRANSCRIPT TO THE JURY

Issue

Since jurors receive evidence in oral form, they are reliant upon their memory and any notes they take to recollect what was said. In lengthy or complex trials, many of them have difficulties in recollecting the evidence; they take variable and incomplete notes; and they sometimes disagree with each other during deliberations about what was said. Because they are reluctant to go back to the judge to ask questions, they do not always resolve these difficulties by requesting that evidence be re-read to them.

Possible solution

The full transcript of evidence should be provided to the jury at the conclusion of each day of the trial, either in all cases or at least in cases where the CAT or the digital audio recording systems are being used.

Advantages

(a) The jury will have a complete record of the evidence available to them, thus reducing the danger that they will base their deliberations and their verdicts upon an erroneous recollection of the evidence.

(b) There will be fewer disagreements about the nature of the evidence; there will be no need for the jury to have evidence read back to them; and deliberation time may accordingly be reduced.

Disadvantages

(a) The jury may be tempted to work their way through all or most of the evidence again, so that deliberation time will be increased rather than reduced.

(b) The jury may get bogged down in the detail of the evidence rather than taking an overall view of the witnesses’ evidence, thus losing sight of the key issues in the case.

(c) Jurors may read the evidence in written form and determine the weight to be attached to it, without taking properly into account the demeanour of the witness when the evidence was given in oral form.

(d) There will need to be closer scrutiny of the accuracy of the record.

Comment

There would need to be some mechanism for checking the accuracy of a written transcript. As an alternative, instead of providing a written transcript, it would be possible to videotape oral testimony and provide the jury with a video recorder so that they could replay parts of the evidence when they needed to refresh their memory.

 

10. OTHER WRITTEN AND VISUAL AIDS

Issue

Particularly in longer and more complex trials, a significant number of jurors have difficulty in concentrating upon, assimilating and recalling evidence presented by way of oral testimony. This both produces disagreements within the jury room about the nature of the evidence presented, and prolongs and reduces the quality of jury deliberations.

Possible solution

In addition to the greater use of written evidence, counsel should be permitted and where appropriate encouraged to use both written and visual aids in their opening and closing addresses and in evidence-in-chief (eg a summary of the chronology of events on an overhead projector or on PowerPoint, a written list of witnesses and their relationship to the parties etc).

Advantages

(a) Jurors are more likely to concentrate upon and assimilate oral addresses and oral testimony when it is summarised or presented in written or visual form.

(b) They are more likely to recall oral evidence when they have written material to serve as an aide memoire.

Disadvantages

I can’t think of any.

Comment

It will be necessary for Judges to ensure that written and visual aids by counsel, when used in conjunction with testimony given under oath, do not provide information going beyond that testimony. Written or visual aids should simply summarise or collate the evidence, not present new evidence. If such aids are to become the norm, then the necessary equipment (Data Projectors, screens etc) will need to be available in every courtroom.

 

11. THE SEQUENCE OF EXPERT EVIDENCE

Issue

As trials are presently structured, evidence from opposing experts may be given days or weeks apart. This must make it more difficult for a jury to decide to what extent the experts differ, and to decide which, if either, they prefer.

Possible solution

The sequence of witnesses is adjusted so that experts on a particular topic give their evidence consecutively.

Advantage

Jurors have a better opportunity to understand the differences between experts, and to assess the comparative soundness of their views.

Disadvantages

(a) There may be some interference with trial strategy, particularly for the defence.

(b) In the absence of an early defence opening identifying the issues in dispute, the calling of expert witnesses in sequence will often make little sense.

Comment

An alternative solution would be to provide written briefs of the evidence of expert witnesses to the jury in advance, with an identification of the issues about which they are disagreed, so that the jury has this evidence available before any expert is cross-examined. This would require the consent and co-operation of counsel.

 

12. JURY TUTORIALS

Issue

Experts giving evidence in complex or highly technical issues requiring an understanding of unfamiliar terminology or concepts have the double difficulty of having to educate the jury on those matters, as well as applying those concepts to the facts in issue, and explaining their conclusions. In many cases there will simply be too much new and unfamiliar material for the jury to absorb in any meaningful way. If that is so, it is likely that the jury will abdicate its decision-making role to the expert(s).

Possible solution

At least in cases where technical issues can be presented in a neutral way divorced from the facts of the case, jurors can be introduced to the new terminology and concepts, in advance of the evidence being given. This can be done by a court-appointed or approved expert; ie someone other than the expert(s) to be called by one or both of the parties. That expert gives the jury a "tutorial" and introduces them to the terminology and concepts of the relevant discipline in an abstract way, without embarking at all on the actual facts or merits of the case.

Advantages

(a) The jury is introduced to new and unfamiliar material in a much more digestible way, first getting a working understanding of the terms and concepts. Only then does it get evidence of the application of those terms and concepts to the facts of the case.

(b) The witnesses can concentrate on explaining their workings and conclusions, without at the same time explaining the meaning of every new word.

(c) Juries are less likely to abandon their critical decision-making functions to experts, simply because they don’t understand what is being said to them.

Disadvantages

(a) There will be cost implications, whether the tutor is funded by the court, or by the parties.

(b) There may be time implications also, but given that the "educative" ground has to be covered anyway, these may not be as great as might first appear.

(c) In many cases it will be impossible to explain concepts or terminology without appearing to favour the approach taken by either prosecution or defence.

Comment

The sequencing of expert evidence can be used in conjunction with or independently of jury tutorials.

 

13. A WRITTEN SUMMARY OF THE LAW AND OTHER STANDARD DIRECTIONS AT THE COMMENCEMENT OF THE TRIAL

Issue

Jurors often do not feel that they are given an adequate legal framework at the commencement of the trial. Currently, most judges leave detailed discussion on the law to the parties – primarily the Crown – and to the summing up. Indeed, some judges leave matters such as the burden and standard of proof to the summing up as well. Similarly, counsel vary in the degree to which they outline the legal structure at the start of the trial, and gaps in that respect may be compounded by the fact that juries themselves vary in the extent to which they are receptive to the law outlined by the Crown, especially when they have been told at the start of the trial that the law is for the judge to decide and that they will receive a full description of it at the end of the case. One result of all this is that some jurors spend much of the time listening to and processing evidence largely in ignorance of which bits of information are legally significant. Occasionally, too, in the absence of what they regard as authoritative information, jurors make their own inquiries about the law during the trial.

Possible solution

As part of his or her opening instructions, the judge should provide to the jury a written summary of the following:

This summary should include space for jurors to write additional notes from the judge’s oral expansion of the written summary. The written summary and those notes would then be an aide memoire for each juror throughout the trial.

Advantages

(a) The jury will have an authoritative legal framework within which to assess the evidence during the trial.

(b) Because they will have a written version of the law (in a more detailed and comprehensible form than the indictment), they are less likely to jump to erroneous conclusions or to make their own inquiries.

Disadvantages

(a) The judge will be required to prepare a written summary before the prosecutor’s opening address. To the extent that it is not possible to complete the preparation of this in advance of the trial, it will delay its commencement.

(b) There are significant workload implications for judges.

Comment

Some judges are now providing written summaries at the commencement of the trial, of varying degrees of length and completeness. It is suggested in the revised Bench Book that they do so. Where jurors receive such summaries, they invariably find them helpful and many refer to them during the trial. However, it is important that such written material be provided in a format which most effectively enhances comprehension (short, simple sentences; the use of numbering and bulletpoints etc).

 

14. AS PART OF THE SUMMING UP, THE PROVISION OF A SEQUENTIAL LIST OF QUESTIONS APPLYING THE LAW TO THE FACTS OF THE CASE

Issue

While juries endeavour to apply the law conscientiously, they frequently fail to recollect or comprehend aspects of it and disagree with each other about how it should be applied to the facts. They also frequently fail to structure their discussions around the law.

Possible solution

The judge should provide the jury with not only an outline of the elements of the offence but also a flowchart with a sequential list of questions derived from the elements of the offence and applying those elements to the facts in the case, which the jury can use as an aid to decision-making.

Advantages

(a) Rather than having to absorb the details of the law while the judge is presenting it in oral form, jurors will be able to digest the key elements of it in a relaxed atmosphere back in the jury room.

(b) Because they will have a systematic sequence of issues to be decided, they are more likely to apply the law in a correct and rational manner.

(c) There will be less room for jury disagreement about the law, making deliberations more efficient and reducing deliberation time.

Disadvantage

Judges will have the burden of producing a written summary for a jury before it retires to consider its verdict, which will add to the judge’s workload during the trial.

Comment

The revised Bench Book suggests that judges provide flowcharts or sequential questions in appropriate cases, and gives some examples. It would be necessary for the judge to present any written material to counsel and to give them the opportunity to suggest amendments or additions. This would reduce the prospect that appeals might be brought because of perceived mistakes in the judge’s summary. It would also be desirable for the judge to give jurors the written summary at the end of the summing up (so that jurors don’t read rather than listen) and to present the summary in visual form during the summing up itself.

 

15. MORE GUIDANCE ON EFFECTIVE DECISION-MAKING

Issue

Juries receive limited information on effective decision-making procedures. Apart from being told that it is preferable for the foreperson to have experience in chairing meetings and in facilitating discussions, the jury (and in particular the foreperson) is given little other guidance, the implication being that the way in which they manage their deliberations is very much up to them. This tends to suggest that one method is pretty much as good as another. However, the research points to the fact that the effectiveness of the deliberation processes of juries varies enormously and depends upon the extent to which the foreperson (or, in the absence of an effective foreperson, some other juror) structures the decision-making in a systematic and ordered fashion.

Possible solution

In addition to the provision of a summing up which can be used to structure decision-making (as is suggested above), the foreperson should be provided with some simple written guidelines on techniques for effective small group decision-making – how to structure discussions, how to deal with dominant jurors, how to resolve disagreements, etc. These guidelines could be prepared by someone experienced in facilitation techniques and routinely handed to the foreperson in every case.

Advantage

Although it is by no means certain that additional instructions will in themselves enable forepersons (or juries as a whole) to adopt better decision-making processes, they are arguably likely to do so if combined with more structured written instructions on the law. In that event, both the quality and efficiency of deliberations will be improved.

Disadvantage

Instructions of this sort might be perceived as unduly intruding upon jury autonomy.

 

16. RESOLVING JURY DISAGREEMENTS – "RECLOSING"

Issue

If a jury reports that they are unable to reach agreement, the Papadopoulos direction (the equivalent of the Australian Black direction) is a blunt tool as a means of resolving that disagreement. It is really no more than an invitation to the jury to argue it out, with a subliminal message that they should compromise and "get it over with". Although it sometimes leads juries to become more focused in their deliberations, it just as often either has no effect at all or persuades minority jurors to capitulate or compromise their principles for the sake of unanimity. Judges do not know what the problem actually is unless the jury asks a question which gives a hint of their thought processes.

Possible solution

If a jury reports an impasse, the trial judge extends a non-coercive invitation to the jury to specify, if it can, the issue or issues of fact or law which are leading to problems or disagreements. If a sequential list of questions applying the law to the facts is being provided to the jury as part of the summing up, the jury can be invited to indicate which particular question it is stuck on. If the jury does respond, the judge will consult with counsel and decide what, if any, further proceedings might assist. These might include all or any of the following:

Advantages

(a) Juries which are allowed to identify the issues that are causing them difficulty, and to receive an appropriate response, are more likely to give a satisfactory verdict, and even if they do not they will at least have the satisfaction of knowing that the problem issue was truly an insoluble one, and not one that they had simply failed to come to grips with.

(b) The provision of further advice or assistance with specific problem issues will increase the chances of a verdict and thus avoid needless retrials.

(c) If the disagreement is being caused by an irrational or a "rogue" juror who is refusing to participate in the deliberation process at all, this may emerge from the jury’s response and allow the judge the opportunity to discharge that juror and to proceed with the remaining eleven.

Disadvantages

(a) If the jury does respond to the judge’s invitation, there will inevitably be some disclosure of the jury’s deliberations up to that point.

(b) No matter how subtly it is worded, the judge’s invitation may be perceived by the jury as being coercive.

(c) The concerns of dissenting jurors may not be accurately reflected in the issues communicated to the court.

(d) The trial may become protracted, although this needs to be balanced against the potential avoidance of a retrial.

Comment

This technique [at least the permitting of "re-closing" or of giving further directions] appears to be gaining ground in the United States, and is standard procedure in a good number of courts. Generally it is conducted under the inherent jurisdiction and has been approved in federal appellate courts. So far as is known, there is only one state which has made specific legislative provision permitting reopening of the trial for further evidence.

 

 

 

SESSION 2: POSSIBLE STATUTORY REFORMS

 

1. DEFERRAL RATHER THAN EXEMPTION FROM JURY DUTY

Issue

Our existing law allows only for potential jurors to be exempted from duty. It does not permit the obligation to serve being deferred for a specified period. My experience is that most applications for exemptions are founded on time-specific problems: eg "I have exams that week", "I will be out of the country on business for all of July" and the like. This means that jurors are either in or out. If their application is declined, some of them may be resentful and inattentive. If they are excused they both lose the opportunity to serve, and cast their share of the burden on others.

Possible solution

Potential jurors having a time-specific reason for being unable to serve should be able to apply to the Registrar to have their obligation deferred to a time when that reason does not exist.

Advantages

(a) The numbers of complete exemptions should be significantly reduced, and the burden of service will be more fairly shared.

(b) The pool of potential jurors will be widened, so that juries will become more representative.

Disadvantages

There will be some administrative burden in ensuring that deferred service is scheduled at the appropriate times.

Comment

It has been suggested that the first deferral might be automatic. However, although this would be administratively easier, it might produce a considerable volume of deferrals and would make the task of determining how many prospective jurors should be summoned each week more difficult.

2. ONE DAY – ONE TRIAL

Issue

Potential jurors have no certainty about the extent of their commitment when they are summonsed to appear on a given Monday. If they attend, but are not balloted for a trial beginning that day, or are challenged, they remain "on call" for the whole of that week, but may in fact never sit at all. Conversely, some jurors may sit on a number of trials throughout that week, placing an unfair burden on those individuals compared to others who do not sit at all. Any of these situations are disruptive of employment obligations and impose an extra burden in making "on again, off again" childcare or other domestic arrangements. Also, both employment disruptions and childcare arrangements may impose significant financial costs, as may transport and other associated costs.

Possible solution

Potential jurors would be required to attend on a specific day of the week. This can be done by way of the summons itself specifying that day, or (probably less preferably) by putting the juror "on call" for the nominated week with a particular day being notified by telephone follow up. If an individual juror is balloted to sit on a trial, that will conclude his or her attendance obligation, whatever the length of the trial. If he or she is not balloted or is challenged on the nominated day, attendance on that day is nevertheless deemed to fulfil the attendance obligation.

Advantages

(a) The higher degree of certainty of the extent of the juror’s commitment will reduce hardship, both in terms of disruption and financial cost.

(b) The higher degree of certainty, and reduced potential commitment, should reduce the number of applications for exemption.

(c) The knowledge that each juror is available only for "one day – one trial" should encourage courts to make more efficient use of juror time, which is inherently desirable, and should increase juror satisfaction.

(d) Because greater numbers of jurors will be required, more people will be exposed to jury service, which more equitably spreads the burden across the community, and has a positive educative function.

Disadvantages

(a) Greater numbers of potential jurors will have to be summonsed. There will be increased associated administrative costs.

(b) Juror orientation will be required at the beginning of each day.

(c) Better planning of trials and predictions of required numbers of potential jurors will be required.

(d) Any advantage stemming from the fact that some jurors sit on more than one trial and therefore gain experience of the process will be lost.

Comment

This system began in some US courts in the early 1970’s and is now widespread, currently covering about 40% of the US population. At the other extreme, jurors in South Australia are summoned for one month and may sit on several trials during that month. It is reported that as a result juries at the end of the month appear to function very differently from juries at the beginning of the month.

As an alternative, judges could exercise the discretion to excuse jurors from further service more readily, particularly when they have been on a jury which has dealt with a distressing case or has deliberated late into the evening.

3. ABOLITION OF PEREMPTORY CHALLENGES

Issue

In most instances, the exercise of peremptory challenges is based upon unproven assumptions about the extent to which jurors of particular occupational groups or exhibiting a particular type of dress or appearance will favour the prosecution or defence. As a result, some occupational, socio-economic and ethnic groups are more likely to be challenged than others. Moreover, although the video shown to jurors emphasises that challenges do not reflect upon them personally, they nevertheless sometimes comment that the process is a demeaning one which they resent.

Possible solution

Peremptory challenges should be abolished. Judges should have a wide discretion to excuse jurors after a challenge for cause by either Crown or defence.

Advantages

(a) Jurors would be selected on a more truly random basis, and the potential biasing effect of the challenging process would be removed.

(b) Jurors who think that the current challenging system is unfair and demeaning would be more likely to find the experience of being a juror satisfying.

Disadvantages

(a) There would be more challenges for cause requiring argument and a judicial decision, with the possibility that this would increase the time taken to select a jury.

(b) Decisions on challenges for cause would be open to appeal, thus increasing the number of appeals.

(c) Counsel (especially in smaller centres) who presently exercise a peremptory challenge because preliminary inquiries raise a suspicion that the person may have criminal associates or otherwise have the potential for bias, may have difficulty in providing admissible evidence in support of that suspicion. Thus a challenge for cause may fail, so that the jury contains persons whose impartiality is doubted by either Crown or defence. In that event, there may be a residual feeling by the party holding that doubt that justice has not been done.

Comment

Peremptory challenges still exist in Australia and North America, but have been abolished elsewhere. In England and Wales, peremptory challenges were finally abolished in 1988, having been reduced from 7 to 3 in number in 1977. There is no empirical research on the effect which this has had in practice. Challenges for cause have assumed a new practical importance, but it is not known how many of such applications are made, or how often they are successful or result in appeals. There appears to be little expression of concern about the way in which the system is operating.

If peremptory challenges were abolished, there should be a review of either s 25 (which sets out the grounds for a challenge for cause) or ss 15-16 (which set out the grounds upon which a judge may excuse a juror). As these provisions currently stand, a judge confronted with a juror who, for example, is intoxicated or manifestly cannot understand English, must stand the juror aside, discharge the juror under s 22 after the jury is empanelled, or excuse the juror by exercising his or her inherent jurisdiction. None of these solutions is entirely satisfactory.

4. THE TIME AT WHICH THE FOREPERSON IS SELECTED

Issue

Jurors are currently obliged to choose a foreperson before they know anything about each other, or about what the job will entail or what qualities will be needed. Moreover, they are aware that the judge, counsel and the accused are in court waiting for them, and they are sometimes also under considerable pressure from court staff to conclude the process within as short a time as possible. Thus, they generally select a foreperson within a few minutes of retiring.

Possible solution

The jury should select the foreperson after the closing addresses of counsel, by which time jurors will have some knowledge of each other and of what the role will involve, and they will be in a better position to select the person most suited for the role. This will mean that there is no foreperson during the trial itself to act as spokesperson. However, the jury can be told at the commencement of the trial that they will not need to select a foreperson until the conclusion of the case, and that in the meantime they should select a juror to act as their spokesperson and to liaise with the judge. This initial selection can be done during the first adjournment.

Advantages

(a) When they select the foreperson, jurors will have some knowledge of each other and of the requirements of the role and be in a position to select the person they believe is most suited for it.

(b) Jurors’ dissatisfaction with the rapid and cursory nature of the current process for selecting forepersons will be reduced.

Disadvantages

(a) There will need to be two selections: one of the person to act as spokesperson and one of the person to act as foreperson. Without proper explanation, this may be confusing.

(b) There may be a tendency for juries simply to select as foreperson the juror who has been acting as spokesperson. In that event, the delay in the selection process will have achieved little or nothing.

(c) There is a danger that, as the dynamics of the jury emerge during the trial, the person ending up as foreperson will be the most dominant juror rather than the one most suited to the task, or that people, having observed the jury dynamics, will seek the job to achieve a quick resolution or impose their own view.

(d) There may be some advantage in having a foreperson during the trial, since a small proportion of juries do attempt to organise the issues and the evidence during the trial itself.

Comment

This will require an amendment to section 21 Juries Act 1981 which currently requires the jury to retire and select a foreperson before the case is opened or the accused is given in charge. As an alternative, the foreperson could be selected at lunch on the first day or at some later time in the trial as the jury chose.

5. SEQUESTERING JURIES IN RETIREMENT

Issue

Why, actually, do we sequester juries once they have retired to consider their verdicts? What does it actually achieve? Why is it thought that jurors are more susceptible at that stage to influence from the media, or whoever, than at any other point of the trial? It is expensive and inconvenient for the court. It is, usually, inconvenient and disruptive for the jurors. It also imposes some pressure on judges and jurors to conclude deliberations on one day: the former allow juries to deliberate late into the evening when they are tired and not functioning at their best; the latter, if they are in the minority, may be persuaded to capitulate or compromise so that the jury can go home.

Possible solution

If deliberations are obviously not going to be concluded at a "reasonable hour", then jurors should be sent home in the usual way, perhaps with an additional caution about not discussing the case with anyone other than jury members.

Advantages

(a) To the greatest degree possible, jurors are not isolated from family and their domestic obligations.

(b) The court is not responsible for the costs of housing and feeding 14 people in mid-city hotels, nor for making the arrangements (often at short notice).

Disadvantage

Individual members of the jury may be tempted to discuss the case with others, especially where the jury is in disagreement with each other.

Comment

New York state removed most sequestering during deliberations in 1995 (except for class A felony and class B or C violent felony). The power was discretionary – the parties could apply to have the jury sequestered if appropriate. A 1997 report to the state legislature concluded that the change had been successful; the mistrials and increased costs which had been predicted had not in fact occurred. There had been significant cost savings and many people who had previously been unable to serve for family or religious reasons had been able to serve, often for the first time. There were no allegations of tampering with jurors. Deliberations were a bit longer, possibly indicating that the separated juries deliberate in a "more careful and meaningful fashion". There were two mistrials; in one it was ultimately held that the trial judge had declared a mistrial prematurely and erroneously without due inquiry as to the missing juror’s whereabouts, and in the other case a deliberating juror improperly visited the crime scene (which they could have done during the evidence in any event).

The 1997 report recommended that the scheme be extended, by extending the discretion to all cases except capital cases, and giving judges authority to separate juries is all trials except for class A felony and class B or C violent felony (whereas previously they had just had a discretion.

6. MAJORITY VERDICTS

Issue

Although the precise proportion of hung juries is difficult to determine, there is a widespread belief that hung juries have significantly increased in recent years and that they now occur in approximately 10% of all trials. In the research, there were five fully hung juries out of 48. In two of these cases, the jury was hung primarily because of a single juror who was acting irrationally (a "rogue" juror); in the other three, the jury began their deliberations fairly evenly divided and the minority jurors had genuine and rationally based misgivings.

Possible solution

Majority verdicts of 11:1 in favour of both convictions and acquittals should be permitted after the jury has been deliberating for a minimum of four hours.

Advantages

(a) Majority verdicts will allow the views of recalcitrant or prejudiced rogue jurors, who are not amenable to reason, to be overridden.

(b) The provision of majority verdicts will allow jurors to reach decisions more quickly and efficiently by providing the means by which they can resolve difficulties and disagreements without the need for protracted discussions.

(c) Majority verdicts will allow dissenting jurors, who currently feel immense pressure to compromise their principles to achieve a unanimous verdict and who consequently have difficulty in coming to terms with the decision later, to have a mechanism by which they can stick to their principles without affecting the jury’s ability to achieve a result.

Disadvantages

(a) While hung juries sometimes result from the prejudice, perversity or irrationality of one or two dissenting jurors, the research findings suggest that they are just as likely to arise from the carefully considered conclusions of a minority of jurors who feel that they are averting an unjust or questionable result.

(b) The introduction of majority verdicts may undermine the value of deliberations in jury decision-making, since the views of minority jurors can more easily be ignored.

(c) One possible consequence of the introduction of majority verdicts is that some of those jurors who report that they feel considerable pressure from a number of sources to reach agreement will instead stick to their minority view. This will lead to many more majority verdicts than there currently are hung juries, which will have the potential to undermine the perceived finality of the jury’s verdict and jeopardise public confidence in the system.

(d) In any case, the introduction of majority verdicts will not wholly eliminate the pressures confronted by jurors. Where there is division of opinion within a jury, it is frequently the case that juries begin their deliberations with four or more dissenters from the majority opinion. Thus the introduction of majority verdicts will simply change the threshold at which the pressure on minority jurors comes into play. While one or two may avoid compromising their principles, the remainder will be under exactly the same pressure as currently exists to change their minds.

Comment

Majority verdict provisions exist in the United Kingdom and in four states of Australia. However, the unanimity requirement has been retained in Queensland, New South Wales and most American jurisdictions.