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Saturday, January 6, 2024

Natural justice

From Wikipedia, the free encyclopedia
https://en.wikipedia.org/wiki/Natural_justice
A tondo of an allegory of justice (1508) by Raphael in the Stanza della Segnatura (Room of the Apostolic Signatura) of the Apostolic Palace, Vatican City

In English law, natural justice is technical terminology for the rule against bias (nemo iudex in causa sua) and the right to a fair hearing (audi alteram partem). While the term natural justice is often retained as a general concept, it has largely been replaced and extended by the general "duty to act fairly".

The basis for the rule against bias is the need to maintain public confidence in the legal system. Bias can take the form of actual bias, imputed bias, or apparent bias. Actual bias is very difficult to prove in practice whereas imputed bias, once shown, will result in a decision being void without the need for any investigation into the likelihood or suspicion of bias. Cases from different jurisdictions currently apply two tests for apparent bias: the "reasonable suspicion of bias" test and the "real likelihood of bias" test. One view that has been taken is that the differences between these two tests are largely semantic and that they operate similarly.

The right to a fair hearing requires that individuals should not be penalized by decisions affecting their rights or legitimate expectations unless they have been given prior notice of the case, a fair opportunity to answer it, and the opportunity to present their own case. The mere fact that a decision affects rights or interests is sufficient to subject the decision to the procedures required by natural justice. In Europe, the right to a fair hearing is guaranteed by Article 6(1) of the European Convention on Human Rights, which is said to complement the common law rather than replace it.

Background

The courtroom of the Supreme Court of Canada in Ottawa, Ontario. In 1999, the Court ruled in Baker v Canada (Minister of Citizenship and Immigration) that the requirements of natural justice vary according to the context of the matter arising.

Natural justice is a term of art that denotes specific procedural rights in the English legal system and the systems of other nations based on it. It is similar to the American concepts of fair procedure and procedural due process, the latter having roots that to some degree parallel the origins of natural justice.

Although natural justice has an impressive ancestry and is said to express the close relationship between the common law and moral principles, the use of the term today is not to be confused with the "natural law" of the Canonists, the mediaeval philosophers' visions of an "ideal pattern of society" or the "natural rights" philosophy of the 18th century. Whilst the term natural justice is often retained as a general concept, in jurisdictions such as Australia, and the United Kingdom, it has largely been replaced and extended by the more general "duty to act fairly". Natural justice is identified with the two constituents of a fair hearing, which are the rule against bias (nemo iudex in causa sua, or "no man a judge in his own cause"), and the right to a fair hearing (audi alteram partem, or "hear the other side").

The requirements of natural justice or a duty to act fairly depend on the context. In Baker v Canada (Minister of Citizenship and Immigration) (1999), the Supreme Court of Canada set out a list of non-exhaustive factors that would influence the content of the duty of fairness, including the nature of the decision being made and the process followed in making it, the statutory scheme under which the decision-maker operates, the importance of the decision to the person challenging it, the person's legitimate expectations, and the choice of procedure made by the decision-maker.

Earlier, in Knight v Indian Head School Division No 19 (1990), the Supreme Court held that public authorities which make decisions of a legislative and general nature do not have a duty to act fairly, while those that carry out acts of a more administrative and specific nature do. Preliminary decisions will generally not trigger the duty to act fairly, but decisions of a more final nature may have such an effect.

Whether a duty to act fairly applies depends on the relationship between the public authority and the individual. No duty exists where the relationship is one of master and servant, or where the individual holds office at the pleasure of the authority. On the other hand, a duty to act fairly exists where the individual cannot be removed from office except for cause. Finally, a right to procedural fairness only exists when an authority's decision is significant and has an important impact on the individual.

Rule against bias

In general

People are barred from deciding any case in which bias exists or bias may fairly be suspected. This principle embodies the basic concept of impartiality, and applies to courts of law, tribunals, arbitrators and all those having the duty to act judicially. A public authority has a duty to act judicially whenever it makes decisions that affect people's rights or interests, and not only when it applies some judicial-type procedure in arriving at decisions.

The basis on which impartiality operates is the need to maintain public confidence in the legal system. The erosion of public confidence undermines the nobility of the legal system and leads to ensuing chaos. The essence of the need for impartiality was observed by Lord Denning, the Master of the Rolls, in Metropolitan Properties Co (FGC) Ltd v Lannon (1968): "Justice must be rooted in confidence and confidence is destroyed when right-minded people go away thinking: 'The judge was biased.'"

Public confidence as the basis for the rule against bias is also embodied in the often-quoted words of Lord Hewart, the Lord Chief Justice of England and Wales, that "[i]t is not merely of some importance, but of fundamental importance that justice should not only be done, but should manifestly be seen to be done".

Forms of bias

Actual and imputed bias

A portrait of the Lord Chancellor, Lord Cottenham (Charles Pepys, 1st Earl of Cottenham, 1781–1851), by Charles Robert Leslie. In Dimes v Grand Junction Canal (1852), his Lordship was disqualified from hearing a case as he had a pecuniary interest in the outcome.

Bias may be actual, imputed or apparent. Actual bias is established where it is actually established that a decision-maker was prejudiced in favour of or against a party. However, in practice, the making of such an allegation is rare as it is very hard to prove.

One form of imputed bias is based on the decision-maker being a party to a suit, or having a pecuniary or proprietary interest in the outcome of the decision. Once this fact has been established, the bias is irrebuttable and disqualification is automatic—the decision-maker will be barred from adjudicating the matter without the need for any investigation into the likelihood or suspicion of bias. A classic case is Dimes v Grand Junction Canal (1852), which involved an action between Dimes, a local landowner, and the proprietors of the Grand Junction Canal, in which the Lord Chancellor, Lord Cottenham, had affirmed decrees made to the proprietors. However, it was discovered by Dimes that Lord Cottenham, in fact, owned several pounds' worth of shares in the Grand Junction Canal. This eventually led to the judge being disqualified from deciding the case. There was no inquiry as to whether a reasonable person would consider Lord Cottenham to be biased, or as to the circumstances which led Lord Cottenham to hear the case.

In certain limited situations, bias can also be imputed when the decision-maker's interest in the decision is not pecuniary but personal. This was established in the unprecedented case of R v Bow Street Metropolitan Stipendiary Magistrate Ex parte Pinochet Ugarte (No.2) (1999). In an appeal to the House of Lords, the Crown Prosecution Service sought to overturn a quashing order made by the Divisional Court regarding extradition warrants made against the ex-Chilean dictator, Senator Augusto Pinochet. Amnesty International (AI) was given leave to intervene in the proceedings. However, one of the judges of the case, Lord Hoffmann, was a director and chairperson of Amnesty International Charity Ltd. (AICL), a company under the control of AI. He was eventually disqualified from the case and the outcome of the proceedings set aside.

The House of Lords held that the close connection between AICL and AI presented Lord Hoffmann with an interest in the outcome of the litigation. Even though it was non-pecuniary, the Law Lords took the view that the interest was sufficient to warrant Lord Hoffmann's automatic disqualification from hearing the case. In Locabail (UK) Ltd v Bayfield Properties Ltd (1999), the Court of Appeal warned against any further extension of the automatic disqualification rule, "unless plainly required to give effect to the important underlying principles upon which the rule is based".

Apparent bias

Apparent bias is present where a judge or other decision-maker is not a party to a matter and does not have an interest in its outcome, but through his or her conduct or behaviour gives rise to a suspicion that he or she is not impartial. An issue that has arisen is the degree of suspicion which would provide the grounds on which a decision should be set aside for apparent bias. Currently, cases from various jurisdictions apply two different tests: "real likelihood of bias" and "reasonable suspicion of bias".

The real likelihood test centres on whether the facts, as assessed by the court, give rise to a real likelihood of bias. In R v Gough (1993), the House of Lords chose to state the test in terms of a "real danger of bias", and emphasized that the test was concerned with the possibility, not probability, of bias. Lord Goff of Chievely also stated that "the court should look at the matter through the eyes of a reasonable man, because the court in cases such as these personifies the reasonable man". However, the test in Gough has been disapproved of in some Commonwealth jurisdictions. One criticism is that the emphasis on the court's view of the facts gives insufficient emphasis to the perception of the public. These criticisms were addressed by the House of Lords in Porter v Magill (2001). The Court adjusted the Gough test by stating it to be "whether the fair-minded and informed observer, having considered the facts, would conclude that there was a real possibility that the tribunal was biased". This case therefore established the current test in the UK to be one of a "real possibility of bias".

On the other hand, the reasonable suspicion test asks whether a reasonable and fair-minded person sitting in court and knowing all the relevant facts would have a reasonable suspicion that a fair trial for the litigant is not possible. Although not currently adopted in the UK, this test has been endorsed by the Singapore courts.

It has been suggested that the differences between the two tests are largely semantic and that the two tests operate similarly. In Locabail, the judges stated that in a large proportion of the cases, application of the two tests would lead to the same outcome. It was also held that "[p]rovided that the court, personifying the reasonable man, takes an approach which is based on broad common sense, and without inappropriate reliance on special knowledge, the minutiae of court procedure or other matters outside the ken of the ordinary, reasonably well-informed members of the public, there should be no risk that the courts will not ensure both that justice is done and that it is perceived by the public to be done".

In the Singapore High Court decision Tang Kin Hwa v. Traditional Chinese Medicine Practitioners Board (2005), Judicial Commissioner Andrew Phang observed that the real likelihood test is in reality similar to that of reasonable suspicion. First, likelihood is in fact "possibility", as opposed to the higher standard of proof centring on "probability". Secondly, he suggested that real in real likelihood cannot be taken to mean "actual", as this test relates to apparent and not actual bias. He also observed that both the court's and the public's perspectives are "integral parts of a holistic process" with no need to draw a sharp distinction between them.

In contrast, in Re Shankar Alan s/o Anant Kulkarni (2006), Judicial Commissioner Sundaresh Menon thought that there was a real difference between the reasonable suspicion and real likelihood tests. In his opinion, suspicion suggests a belief that something that may not be provable could still be possible. Reasonable suggests that the belief cannot be fanciful. Here the issue is whether it is reasonable for the one to harbour the suspicions in the circumstances even though the suspicious behaviour could be innocent. On the other hand, likelihood points towards something being likely, and real suggests that this must be substantial rather than imagined. Here, then, the inquiry is directed more towards the actor than the observer. The issue is the degree to which a particular event is not likely or possible. Menon J.C. also disagreed with both Lord Goff in Gough and Phang J.C. in Tang Kin Hwa in that he thought the shift of the inquiry from how the matter might appear to a reasonable man to whether the judge thinks there is a sufficient possibility of bias was "a very significant point of departure".

The real likelihood test is met as long as the court is satisfied that there is a sufficient degree of possibility of bias. Although this a lower standard than satisfaction on a balance of probabilities, this is actually directed at mitigating the sheer difficulty of proving actual bias, especially given its insidious and often subconscious nature. The reasonable suspicion test, however, is met if the court is satisfied that a reasonable member of the public could harbour a reasonable suspicion of bias even though the court itself thought there was no real danger of this on the facts. The difference is that the driver behind this test is the strong public interest in ensuring public confidence in the administration of justice. As of September 2011, the Court of Appeal of Singapore had not yet expressed a view as to whether the position taken in Tang Kin Hwa or Shankar Alan is preferable.

Exceptions to the rule against bias

Necessity

There are cases in which a disqualified adjudicator cannot be replaced, as no one else is authorized to act. It has been observed that "disqualification of an adjudicator will not be permitted to destroy the only tribunal with power to act". In such cases, natural justice has to give way to necessity in order to maintain the integrity of judicial and administrative systems.

This issue regarding necessity was raised in Dimes. The Lord Chancellor had to sign an order for enrolment in order to allow the appeal to proceed from the Vice-Chancellor to the House of Lords. It was held that his shareholding in the canal company which barred him from sitting in the appeal did not affect his power to enroll, as no one but him had the authority to do so. It was mentioned this was allowed "for this [was] a case of necessity, and where that occurs the objection of interest cannot prevail".

Waiver

The court normally requests that an objection be taken as soon as the prejudiced party has knowledge of the bias. If an objection is not raised and proceedings are allowed to continue without disapproval, it will be held that the party has waived its right to do so.

Effect of a finding of bias

In Dimes, the judges advised the House of Lords that Lord Cottenham's pecuniary interest made his judgment not void, but voidable. This advice is not wrong in the context of a judicial act under review, where the judgment will be held valid unless reversed on appeal.

However, in the cases of administrative acts or decisions under judicial review, the court can only intervene on the grounds of ultra vires, hence making the judgment void. Lord Esher said in Allison v General Council of Medical Education and Registration (1894) that the participation of a disqualified person "certainly rendered the decision wholly void".

Right to a fair hearing

In general

A hearing of the International Court of Justice in 2006 presided over by its president, Her Excellency Dame Rosalyn Higgins. A fundamental aspect of natural justice is that before a decision is made, all parties should be heard on the matter.

It has been suggested that the rule requiring a fair hearing is broad enough to include the rule against bias since a fair hearing must be an unbiased hearing. However, the rules are often treated separately. It is fundamental to fair procedure that both sides should be heard. The right to a fair hearing requires that individuals are not penalized by decisions affecting their rights or legitimate expectations unless they have been given prior notice of the cases against them, a fair opportunity to answer them, and the opportunity to present their own cases.

Besides promoting an individual's liberties, the right to a fair hearing has also been used by courts as a base on which to build up fair administrative procedures. It is now well established that it is not the character of the public authority that matters but the character of the power exercised. However, in the United Kingdom prior to Ridge v Baldwin (1963), the scope of the right to a fair hearing was severely restricted by case law following Cooper v Wandsworth Board of Works (1863). In R v Electricity Commissioners, ex parte London Electricity Joint Committee Co. (1920), Ltd. (1923), Lord Atkin observed that the right only applied where decision-makers had "the duty to act judicially". In natural justice cases this dictum was generally understood to mean that a duty to act judicially was not to be inferred merely from the impact of a decision on the rights of subjects; such a duty would arise only if there was a "superadded" express obligation to follow a judicial-type procedure in arriving at the decision.

In Ridge v Baldwin, Lord Reid reviewed the authorities extensively and attacked the problem at its root by demonstrating how the term judicial had been misinterpreted as requiring some additional characteristic over and above the characteristic that the power affected some person's rights. In his view, the mere fact that the power affects rights or interests is what makes it "judicial" and so subject to the procedures required by natural justice. This removal of the earlier misconception as to the meaning of judicial is thought to have given the judiciary the flexibility it needed to intervene in cases of judicial review.

The mere fact that a decision-maker is conferred wide discretion by law is not reason enough for a weakening of the requirements of natural justice. In the United Kingdom context, this is demonstrated by Ahmed v H.M. Treasury (No. 1) (2010). The Treasury had exercised powers to freeze the appellants' financial assets and economic resources on the ground that it reasonably suspected the appellants were or might be persons who had committed, attempted to commit, participated in or facilitated the commission of terrorism, pursuant to the Terrorism (United Nations Measures) Order 2006 and the Al-Qaida and Taliban (United Nations Measures) Order 2006 made under the United Nations Act 1946. The Supreme Court of the United Kingdom held that since the Al-Qaida Order made no provision for basic procedural fairness, it effectively deprived people designated under the order the fundamental right of access to a judicial remedy and hence was ultra vires the power conferred by the United Nations Act 1946 for the making of the Order.

Article 6 of the European Convention

The right to a fair hearing is also referred to in Article 6(1) of the European Convention on Human Rights and Fundamental Freedoms, which states:

In the determination of his civil rights and obligations or of any criminal charge against him, everyone is entitled to a fair and public hearing within a reasonable time by an independent and impartial tribunal established by law. ...

Article 6 does not, however, replace the common law duty to ensure a fair hearing. It has been suggested that Article 6 alone is not enough to protect procedural due process, and only with the development of a more sophisticated common law will the protection of procedural due process extend further into the administrative machine. Nonetheless, Article 6 supplements the common law. For example, the common law does not impose a general duty to give reasons for a decision, but under Article 6(1) a decision-maker must give a reasoned judgment so as to enable an affected individual to decide whether to appeal.

Aspects of a fair hearing

Prior notice of hearing

Natural justice allows a person to claim the right to adequate notification of the date, time, place of the hearing as well as detailed notification of the case to be met. This information allows the person adequate time to effectively prepare his or her own case and to answer the case against him or her. In Cooper v Wandsworth, Chief Justice William Erle went so far as to state that the lack of notice and hearing afforded to Cooper could be said to be a form of abuse, as he had been treated as if he did not matter. As Lord Mustill famously held in R v Secretary of State for the Home Department Ex p Doody (1993): "Since the person affected usually cannot make worthwhile representations without knowing what factors may weigh against his interests fairness will very often require that he is informed of the gist of the case which he has to answer."

It has been suggested that the requirement of prior notice serves three important purposes:

  • The interest in good outcomes – giving prior notice increases the value of the proceedings as it is only when the interested person knows the issues and the relevant information that he or she can make a useful contribution.
  • The duty of respect – the affected person has the right to know what is at stake, and it is not enough to simply inform him or her that there will be a hearing.
  • The rule of law – notice of issues and disclosure of information opens up the operations of the public authority to public scrutiny.

The British courts have held it is not enough for an affected person to merely be informed of a hearing. He or she must also be told what is at stake; in other words, the gist of the case.

Opportunity to be heard

Every person has the right to have a hearing and be allowed to present his or her own case. Should a person not attend the hearing, even with adequate notice given, the adjudicator has the discretion to decide if the hearing should proceed. In Ridge v Baldwin, a chief constable succeeded in having his dismissal from service declared void as he had not been given the opportunity to make a defence. In another case, Chief Constable of the North Wales Police v Evans (1982), a chief constable required a police probationer to resign on account of allegations about his private life which he was given no fair opportunity to rebut. The House of Lords found the dismissal to be unlawful. Likewise in Surinder Singh Kanda v Federation of Malaya (1962), a public servant facing disciplinary proceedings was not supplied with a copy of a prejudicial report by a board of inquiry which the adjudicating officer had access to before the hearing. The Privy Council held that the proceedings had failed to provide him a reasonable opportunity of being heard.

However, this requirement does not necessarily mean the decision-maker has to meet the complainant face to face—"Natural justice does not generally demand orality". It has been suggested that an oral hearing will almost be as good as useless if the affected person has no prior knowledge of the case. In Lloyd v McMahon (1987), an oral hearing did not make a difference to the facts on which the case was based. Giving judgment in the Court of Appeal of England and Wales, Lord Justice Harry Woolf held that an oral hearing may not always be the "very pith of the administration of natural justice". It has also been suggested that an oral hearing is only required if issues concerning deprivations of legal rights or legally protected interests arise.

Conduct of the hearing

When deciding how the hearing should be conducted, the adjudicator has to ask whether the person charged has a proper opportunity to consider, challenge or contradict any evidence, and whether the person is also fully aware of the nature of the allegations against him or her so as to have a proper opportunity to present his or her own case. In Secretary of State for the Home Department v AF (2009), Lord Phillips of Worth Matravers said:

The best way of producing a fair trial is to ensure that a party to it has the fullest information of both the allegations that are made against him and the evidence relied upon in support of those allegations. Where the evidence is documentary, he should have access to the documents. Where the evidence consists of oral testimony, then he should be entitled to cross-examine the witnesses who give that testimony, whose identities should be disclosed.

However, when a hearing requires the balancing of multiple polycentric issues such as natural justice and the protection of confidential information for national security reasons, both the concerns of public security and the right to a fair trial must be adequately met. It was held by the House of Lords in AF, applying the decision of the Grand Chamber of the European Court of Human Rights A v United Kingdom (2009), that a person accused of terrorism against whom a control order has been issued must be given sufficient information about the allegations against him to enable him to give effective instructions to his special advocate. If this requirement is satisfied, a fair hearing can be conducted without detailed disclosure of confidential information that might compromise national security. On the facts of the case, a special advocate was not permitted further contact with an applicant or his ordinary legal representatives except with permission of the Special Immigration Appeals Commission (SIAC) after viewing confidential (or "closed") materials.

The House of Lords recognized that although a special advocate's usefulness is stymied somewhat from having no further instructions after viewing such materials, if the SIAC decides to issue a control order predominantly on the basis of non-confidential (or "open") materials, an applicant cannot be regarded as having been denied an opportunity to challenge the reasonableness of the government's beliefs and suspicions about him. If the evidence against the applicant is largely closed but allegations contained in open material are sufficiently specific, an applicant should be able to provide his legal representatives and special advocate with information to refute it (such as an alibi, if the open material alleges he was at a certain place during a certain period) without having to know the detail or sources of the closed evidence. However, if the evidence revealed to the person consists only of general assertions and the case against him is based solely or to a substantive extent on undisclosed adverse evidence, the fair hearing rule under natural justice will not be satisfied.

In such cases, there are strong policy considerations supporting the principle that a trial procedure can never be considered fair if a person is kept in ignorance of the case against him or her. First, since the grounds for a reasonable suspicion that a person is involved in terrorist activity can span from incontrovertible evidence to an innocent misinterpretation of facts which can be explained away by the person, in many cases it is impossible for courts to be sure that the disclosure of the evidence will make no difference to the applicant. Secondly, resentment will be felt by the person and his family and friends if sanctions are imposed without any proper explanation of the grounds and when, due to the non-disclosure of information, the person is put in a position where he is unable to properly defend himself. As Lord Phillips put it, "if the wider public are to have confidence in the justice system, they need to be able to see that justice is done rather than being asked to take it on trust".

The right to be heard in answer to charges before an unbiased tribunal is illustrated in the Singapore case Tan Boon Chee David v. Medical Council of Singapore (1980). During a disciplinary hearing, council members were either not conscientious about their attendance or did not attend the whole course of proceedings. This meant they did not hear all the oral evidence and submissions. The High Court held that this had substantially prejudiced the appellant and constituted a fundamental breach of natural justice. On the other hand, mere absence from a hearing does not necessarily lead to undue prejudice. It was held in Re Teo Choo Hong (1995) that the function of a lay member of a lawyers' disciplinary committee was to observe and not cast a vote or make a judgment. Thus, the appellant had not suffered undue prejudice.

On the basis of reciprocity, if one side is allowed to cross-examine his legal opponent at a hearing, the other party must also be given the same opportunity. In addition, when a tribunal decides a case on a basis not raised or contemplated by the parties, or decides it without regarding the submissions and arguments made by the parties on the issues, this will amount to a breach of natural justice. However, a genuine bona fide mistake by an adjudicator in omitting to state reasons for not considering a submission is not enough to be a breach of natural justice. This may occur when the submissions were accidentally omitted, or were so unconvincing that it was not necessary to explicitly state the adjudicator's findings.

Right to legal representation

There is no inherent common law right to legal representation before a domestic tribunal. A tribunal has the discretion to admit either a legally qualified or unqualified counsel to assist the person appearing before it, based on the facts of the case. When assessing whether a party should be offered legal assistance, the adjudicator should first ask whether the right to be heard applies, and, secondly, whether counsel's assistance is needed for an effective hearing given the subject matter, bearing in mind the consequences of such a denial.

In R v Secretary of State for Home Department, ex parte Tarrant (1983), Webster J. set out six factors to be considered when deciding whether to allow representation by counsel, namely:

  • the seriousness of the charge and the potential penalty;
  • whether any points of law are likely to arise.;
  • whether the prisoner is capable of presenting his own case;
  • whether there are any procedural difficulties faced by prisoners in conducting their own defence;
  • whether there is reasonable speed in making the adjudication; and
  • whether there is a need for fairness between prisoners or between prisoners and prison officers.

It has also been suggested that where a tribunal hearing concerns the individual's reputation or right to livelihood, there is a greater need for allowing legal representation as this vindicates the idea of equality before the law.

When one refuses legal representation, one cannot expect to receive a higher "standard" of natural justice. This was enunciated in Singapore in Ho Paul v. Singapore Medical Council (2008). Dr. Ho, who had been charged with professional misconduct, chose to appear before the council in person and declined to cross-examine the council's key witness. Subsequently, he argued that he should have been warned of the legal implications of not being legally represented. The High Court rejected this argument and held he had suffered no prejudice. Dr. Ho had been given a fair opportunity of presenting his own case and, most importantly, had not been deprived of his right to cross-examine the witnesses.

It is also not a court's obligation to provide assistance when a party presents his or her case without legal representation. In Rajeevan Edakalavan v. Public Prosecutor (1998), the accused had appeared in person before a magistrate and had entered a plea of guilt. He later petitioned the High Court for criminal revision, arguing that as the magistrate had not informed him of the defences available to him, his plea had been equivocal. The Court held:

The onus [of informing the accused of his defence options or what could be more advantageous to his case] does not shift to the judge (or the Prosecution, for that matter) simply because the accused is unrepresented. That will be placing too onerous a burden on the judge. Furthermore, the judge will be performing two completely incompatible and irreconcilable roles—one as the adjudicator, the other as the de facto defence counsel.

In Singapore, the right to legal representation is contingent on the nature of the inquiry. However, since Article 12 of the Constitution of Singapore guarantees equal protection under the law, it has been suggested that greater weightage should be accorded to this procedural right when balancing it against the competing demand of efficiency.

The decision and reasons for it

Currently, the principles of natural justice in the United Kingdom and certain other jurisdictions do not include a general rule that reasons should be given for decisions. In R v Northumberland Compensation Appeal Tribunal, ex parte Shaw (1951), Denning L.J. stated: "I think the record must contain at least the document which initiates the proceedings; the pleadings, if any; and the adjudication; but not the evidence, nor the reasons, unless the tribunal chooses to incorporate them. If the tribunal does state its reasons, and those reasons are wrong in law, certiorari lies to quash the decision." It has been stated that "no single factor has inhibited the development of English administrative law as seriously as the absence of any general obligation upon public authorities to give reasons for their decisions".

Historically, uncontrolled public decisions have led to poor outcomes and disrespect for the decision-makers. Such decisions also lacked the regularity and transparency that distinguish them from the mere say-so of public authorities. On such grounds, there are obvious benefits for the disclosure of reasons for decisions. First, procedural participation by people affected by a decision promotes the rule of law by making it more difficult for the public authority to act arbitrarily.

Requiring the giving of reasons helps ensure that decisions are carefully thought through, which in turn aids in the control of administrative discretion. Secondly, accountability makes it necessary for the public authority to face up to the people affected by a decision. When a public authority acts on all the relevant considerations, this increases the probability of better decision outcomes and, as such, is beneficial to public interests. Another important benefit is that respect for decision-makers is fostered, which increases their integrity in the public's eyes.

Friday, January 5, 2024

Trial in absentia

From Wikipedia, the free encyclopedia

Trial in absentia is a criminal proceeding in a court of law in which the person who is subject to it is not physically present at those proceedings. In absentia is Latin for "in (the) absence". Its meaning varies by jurisdiction and legal system.

In common law legal systems, the phrase is more than a spatial description. In these systems, it suggests a recognition of a violation of a defendant's right to be present in court proceedings in a criminal trial. Conviction in a trial in which a defendant is not present to answer the charges is held to be a violation of natural justice. Specifically, it violates the second principle of natural justice, audi alteram partem (hear the other party).

In some civil law legal systems, such as that of Italy, absentia is a recognized and accepted defensive strategy. Such trials may require the presence of the defendant's lawyer, depending on the country.

Europe

Signatories to the European Convention on Human Rights

Member states of the Council of Europe that are party to the European Convention on Human Rights are bound to adhere to Article 6 of the convention, which protects the right to a fair trial.

Trials in absentia are banned in some member states of the EU and permitted in others, posing significant problems for the fluidity of mutual recognition of these judicial judgments. The executing member state possesses some degree of discretion and is not obliged to execute a European Arrest Warrant if the country that is making the request has already tried that person in absentia.

Conditions under which trials in absentia must be recognised include: if the person can be said to have been aware of the trial; if a counsellor took their place at the trial; if they do not request an appeal in due time; and if they are to be offered an appeal. 

The framework decision on the European Arrest Warrant provides for the legal guarantees relevant to trials in absentia. While the framework decision explicitly refers to Article 6 of the European Convention on Human Rights, its purpose is not to harmonise national laws on trials in absentia but to provide terms for the non-recognition of a European Arrest Warrant and other cooperative tools. The framework decision provides detailed conditions and requirements on which a trial in absentia can be considered compatible with Article 6, the right to a fair trial.

According to Pieter Cleppe of the think-tank Open Europe, in parts of Europe, in absentia trials essentially give defendants the ability to appeal twice—asking for a retrial at which they would be present and then potentially appealing the second verdict.

There are some guarantees in the legal system that make sure that it's fair, that the rights of the defense are not being violated, while still making sure that justice is being done. In absentia judgments are common ... you can criticize that, but it's quite common.

The Council of Europe has made commentary on judgments that are made in absentia. The Committee of Ministers, in Resolution (75) 11, of 21 May 1975, stated that an individual must first be effectively served with a summons prior to being tried. In this sense, the ministers are emphasizing that it is not the presence of the accused at the hearing that is of importance, rather the focus should be on whether or not the individual was informed of the trial in time.

In a 1985 judgement in the case Colozza v Italy, the European Court of Human Rights stressed that a person charged with a criminal offence is entitled to take part in the hearings. This entitlement is based on the right to a fair trial and the right to a defence, both of which are required by the convention (articles 6(1) and 6(3)). Furthermore, the court stressed that a person convicted in absentia shall be entitled to a fresh trial once he becomes aware of the proceedings:

When domestic law permits a trial to be held notwithstanding the absence of a person "charged with a criminal offence" who is in Mr. Colozza’s position, that person should, once he becomes aware of the proceedings, be able to obtain, from a court which has heard him, a fresh determination of the merits of the charge.

— European Court of Human Rights, Colozza vs. Italy

Belgium

The Human Rights Committee (HRC) examined Monguya Mbenge v. Zaire (1990) in which the applicant was sentenced to death while exiled in Belgium and was only able to learn of the case against him through the media. Due to these circumstances, the committee found that a number of the applicant's procedural rights had been violated, especially in consideration of the fact that the Zairean authorities had hardly attempted to contact the applicant despite possible knowledge of the applicant's address. This highly impeded the applicant's capacity to prepare any form of defense. Failed evidence to support the case that a court had tried to inform the accused of proceedings against him/her provides the committee with the opinion that the right to be tried in one's presence was violated.

Czech Republic

Under Article 8(2) of the Charter of Fundamental Rights and Basic Freedoms of the Czech Republic, which has the same legal standing as the Czech Constitution, no one may be prosecuted or deprived of their liberty except on grounds and in a manner specified by law.

In general, the Czech Criminal Procedural Code requires the presence of the defendant in any criminal proceedings. The code recognizes the following exemptions from this rule, when criminal proceedings may be conducted without the presence of the person charged:

  • Where a defendant has died (involving the continuation or reopening of proceedings in order to clear a deceased defendant's name).
  • Where a defendant is unknown:
    • This may arise before charges against a person are brought, normally in respect of pre-trial proceedings. For example, if police conclude that a crime has been committed and that action needs to be taken to identify the perpetrator, such as the interrogation of a witness or an identity parade, such an action is taken in the presence of a judge because the rights of the (still unidentified) criminal suspect cannot otherwise be adequately protected during the evidence gathering. Normally, a defendant enjoys the right to be present or represented by an attorney during the interrogation or identity parade. But where the defendant is not yet identified, in order to secure full legality and impartiality, a judge is present. This ensures the admissibility of the resulting evidence will not be successfully challenged during the trial. Typically, this situation might involve a dying witness, not expected to be available later for cross-examination at a trial by or on behalf of the defendant.
    • When confiscating property involved in criminal case from an unknown owner, the property confiscated will remain the property of the unknown owner pending a trial and a court decision to transfer the property confiscated to the state. An example could arise where the property to be confiscated might endanger people, property or society, or might be used for commission of a felony. Typically, this concerns prohibited weapons or ammunition, explosives, narcotics, poisons, etc., seized by the police without, at the time of the seizure, knowing the owner's identity.
  • Where a defendant is known:
    • Where an accused person is evading proceedings by being either abroad or in hiding, the proceedings may be conducted in absentia. The proceedings are then officially started by the formal delivery of charges to the defendant's attorney. If the defendant does not have an attorney, the court will appoint one. An attorney must in these circumstances be appointed throughout the entire proceedings, and will have all the defendant's rights. All documents intended for the defendant will be delivered to the attorney and the court must take "appropriate measures" to announce the trial publicly. Where the absent defendant subsequently appears during the trial, the proceedings shall continue in the normal way. The defendant may request that any evidence that had been presented in his absence be presented again; where this is not possible, he will be shown records of it and may comment on it. Where the case has ended with an enforceable judgment, the convicted party may request a fresh trial within eight days of the delivery of the judgment to him. The fresh trial may not lead to an outcome that would be less favorable to the defendant than the outcome of the previous in absentia trial.

Apart from the aforementioned cases of in absentia proceedings in the narrow sense, the defendant may also be absent during the trial under following circumstances:

  • When the defendant fails to appear for the trial: only if
    • the indictment was duly delivered and
    • the defendant was duly summoned for the trial (i.e. is not in hiding) and
    • the defendant has already been formally questioned during pre-trial proceedings (whether or not they elected to remain silent) and
    • the defendant has been alerted about their right to study the case file and to put forward motions for investigation and
    • the court determines that, despite the defendant's absence from the trial, the case can be reliably decided and the purposes of the trial achieved.
  • When the defendant requests that the trial takes place in their absence: if the defendant is being held on remand, a simple failure to appear is not permitted: the defendant must formally request that the proceedings to take place in their absence.
  • When the defendant is disrupting the proceedings: trial in absentia is possible only on basis of a formal ruling of, and subject to previous warning by, the court, and only for the necessary period of time. Immediately after allowing the defendant back into the courtroom, the presiding judge must convey the essential content of the proceedings taken in the defendant's absence, so as allow them to comment on it.

Italy

Italy is one of several countries in Europe that allow trials in absentia, and they are a regular occurrence.

In Maleki v Italy (1997), the United Nations Human Rights Committee held that the Italian policy on trials in absentia was a breach of the right to fair trial under Article 14 of the International Covenant on Civil and Political Rights. Italy argued that where a defendant in absentia is represented by court-appointed counsel and where he or she has an opportunity to be re-tried, the right to a fair trial will not be violated. The committee disagreed, describing Italy's position as:

clearly insufficient to lift the burden placed on the State party if it is to justify trying an accused in absentia. It was incumbent on the court that tried the case to verify that [Maleki] had been informed of the pending case before proceeding to hold the trial in absentia. Failing evidence that the court did so, the [HRC] is of the opinion that [Maleki's] right to be tried in his presence was violated.

In 2009, a former CIA station chief and two other Americans were tried and convicted in absentia by a Milan appeals court for the abduction of Egyptian terror suspect Osama Hassan Mustafa Nasr. The decision meant that 26 Americans tried in absentia for the abduction were found guilty.

The trial of American Amanda Knox for the 2007 murder of British student Meredith Kercher highlighted the issue of Italy's willingness to try defendants in absentia. In 2013 Italy's highest court, the Court of Cassation, decided to annul Knox's appeal (alongside the co-accused, Italian Raffaele Sollecito), thus overturning their previous acquittals, declaring the acquittal as "full of deficiencies, contradictions and illogical conclusions".

As Amanda Knox remained at her home in the United States, her appeal was heard in absentia, in Florence, Italy. On 30 January 2014 her guilty verdict was re-instated for the murder of Kercher and her sentence set at 28 years and six months imprisonment.

In the case of Goddi v. Italy, the European Court of Human Rights held that the failure of Italy's judiciary to inform the officially appointed lawyer of the applicant in regards to the correct date of the trial hearing deprived the applicant of an effective defence, and therefore Article 6 (3) (c) had been violated.

Certain case law supports the notion that in some circumstances representation by counsel at the trial will not be enough to make an in absentia conviction conclusive enough for the establishment of probable cause. In Gallina v Fraser, the appellant Vincenzo Gallina was convicted in absentia according to established Italian procedure for two robberies. The verdict in Gallina has been since interpreted to suggest that the presence of legal counsel alone is, in certain cases, insufficient to give an in absentia conviction that establishes probable cause.

United States

For more than 100 years, courts in the United States have held that the United States Constitution protects a criminal defendant's right to appear in person at their trial, as a matter of due process, under the Fifth, Sixth, and Fourteenth Amendments.

In 1884, the Supreme Court of the United States held that

the legislature has deemed it essential to the protection of one whose life or liberty is involved in a prosecution for felony, that he shall be personally present at the trial, that is, at every stage of the trial when his substantial rights may be affected by the proceedings against him. If he be deprived of his life or liberty without being so present, such deprivation would be without that due process of law required by the Constitution.

— Hopt v. Utah 110 US 574, 28 L Ed 262, 4 S Ct 202 (1884).

A similar holding was announced by the Arizona Court of Appeals in 2004 (based on Arizona Rules of Criminal Procedure):

A voluntary waiver of the right to be present requires true freedom of choice. A trial court may infer that a defendant's absence from trial is voluntary and constitutes a waiver if a defendant had personal knowledge of the time of the proceeding, the right to be present, and had received a warning that the proceeding would take place in their absence if they failed to appear. The courts indulge every reasonable presumption against the waiver of fundamental constitutional rights.

— State v. Whitley, 85 P.3d 116 (2004) (Depublished Opinion).

Although United States Congress codified this right by approving Rule 43 of the Federal Rules of Criminal Procedure in 1946 and amended the Rule in 1973, the right is not absolute.

Rule 43 provides that a defendant shall be present

  • at the arraignment,
  • at the time of the plea,
  • at every stage of the trial including the impaneling of the jury and the return of the verdict and
  • at the imposition of sentence.

However, the following exceptions are included in the Rule:

  • the defendant waives his or her right to be present if he or she voluntarily leaves the trial after it has commenced,
  • if he or she persists in disruptive conduct after being warned that such conduct will cause him or her to be removed from the courtroom,
  • a corporation need not be present, but may be represented by counsel,
  • in prosecutions for misdemeanors, the court may permit arraignment, plea, trial, and imposition of sentence in the defendant's absence with his or her written consent, and
  • the defendant need not be present at a conference or argument upon a question of law or at a reduction of sentence under Rule 35 of the Federal Rules of Criminal Procedure.

Indeed, several U.S. Supreme Court decisions have recognized that a defendant may forfeit the right to be present at trial through disruptive behavior, or through his or her voluntary absence after trial has begun.

In 1993, the Supreme Court revisited Rule 43 in the case of Crosby v. United States. The Court unanimously held, in an opinion written by Justice Harry Blackmun, that Rule 43 does not permit the trial in absentia of a defendant who is absent at the beginning of trial.

This case requires us to decide whether Federal Rule of Criminal Procedure 43 permits the trial in absentia of a defendant who absconds prior to trial and is absent at its beginning. We hold that it does not. ...The Rule declares explicitly: "The defendant shall be present...at every stage of the trial...except as otherwise provided by this rule" (emphasis added). The list of situations in which the trial may proceed without the defendant is marked as exclusive not by the "expression of one" circumstance, but rather by the express use of a limiting phrase. In that respect the language and structure of the Rule could not be more clear.

However, in Crosby, the Rehnquist Court reiterated an 80-year-old precedent that

Where the offense is not capital and the accused is not in custody, ...if, after the trial has begun in his presence, he voluntarily absents himself, this does not nullify what has been done or prevent the completion of the trial, but, on the contrary, operates as a waiver of his right to be present and leaves the court free to proceed with the trial in like manner and with like effect as if he were present." Diaz v. United States, 223 U.S. at 455 [1912] (emphasis added).

Examples

Examples of people convicted in absentia are:

  • Charles I of England was removed from his trial due to his disruptive behavior, and sentenced to death by beheading without being in the room.
  • Cesare Battisti, thriller author and former member of the Italian terrorist group Armed Proletarians for Communism, sentenced to life. (Arrested on March 18, 2007, in Brazil, and then released on 9 June 2011.)
  • Ian Bailey, a British man convicted in absentia by a French court of the murder of a French woman in Ireland.
  • Adem Jashari, leader of the Kosovo Liberation Army, was convicted in July 1997 in absentia by a Yugoslav court after several unsuccessful attempts to capture or kill him.
  • Krim Belkacem, Algerian Berber resistance fighter and politician. (Assassinated on October 18, 1970, in West Germany.)
  • Heinrich Boere, a Dutch or German convicted by a Dutch court in 1949 of murders on the part of the World War II German occupation authorities in the Netherlands. German courts refused to extradite Boere to the Netherlands due to his possibly having German citizenship.
  • Martin Bormann, Nazi official and Hitler's private secretary, convicted of war crimes and crimes against humanity and sentenced to death by hanging at the Nuremberg war crimes trials. (Disappeared on May 2, 1945, his remains were uncovered in late 1972 in West Berlin, and conclusively identified as those of Bormann in 1998.)
  • Dési Bouterse, Suriname's former military leader, sentenced to 16 years in prison and fined $2.18 million in the Netherlands for cocaine trafficking.
  • Ahmed Chalabi, former Iraqi oil minister, convicted in Jordan for bank fraud.
  • Bettino Craxi, Italian former prime minister, sentenced in absentia to 27 years in jail in Italy, who previously fled to Hammamet in Tunisia in 1994, and remained a fugitive there, protected by Ben Ali's regime.
  • Léon Degrelle, Belgian Nazi collaborator sentenced to death by firing squad while he lived in Spain.
  • Ryszard Kukliński, a Polish colonel, Cold War spy and communist whistleblower, sentenced in absentia to death as a traitor in 1984 by a communist court in the Polish People's Republic. He was finally acquitted in 1997. It was said his activity was in a State of Necessity.
  • Ira Einhorn, murderer and anti-war activist, who challenged his conviction in Pennsylvania. (Escaped to Europe, but was extradited from France back to the US on July 20, 2001.)
  • John Factor, a British-born American gangster and con man, charged with securities fraud in England and tried and sentenced to 24 years in prison in absentia after fleeing back to the United States.
  • Charles de Gaulle, sentenced first to four years in prison and later to death in 1940 for treason against the Vichy regime.
  • Oleg Gordievsky, sentenced to death by the Soviet Union for treason after fleeing to the United Kingdom in 1985.
  • Boļeslavs Maikovskis, Latvian Nazi collaborator sentenced to death by a Soviet court in 1965 (while living in the United States).
  • Mengistu Haile Mariam, former communist dictator sentenced to death in Ethiopia for genocide in May 2008.
  • Jamal Jafaar Mohammed aka Abu Mahdi al-Muhandis, sentenced to death by a Kuwaiti court for the 1983 Kuwait bombings. He served in Iraq's parliament (2006–2007) as a member of Prime Minister Nouri al-Maliki's Islamic Dawa Party and was killed in the 2020 Baghdad International Airport airstrike by a United States drone.
  • Abu Musab al-Zarqawi, sentenced to death in Jordan. (Killed on June 7, 2006, in Iraq.)
  • Andrew Luster, convicted of rape after fleeing mid-trial.
  • Filiberto Ojeda Ríos, convicted in the US after fleeing.
  • Zine El Abidine Ben Ali, former president of Tunisia, sentenced to life in prison along with his wife, Leïla Ben Ali.
  • Bernardo Provenzano, Sicilian Mafia boss convicted of numerous murders during his 42 years as a fugitive.
  • Michael Townley, Chilean DINA agent, has been convicted in 1993 by an Italian court in carrying out the 1975 Rome murder attempt on Bernardo Leighton. (Currently living under the United States Federal Witness Protection Program.)
  • Sholam Weiss, sentenced to the longest federal prison term in United States history (835 years) for fraud, money laundering and other crimes, jumped bail mid-trial. (Extradited by Austria on June 20, 2002.)
  • Arkady Shevchenko, high ranking SVR official of the USSR, sentenced to death in Moscow in absentia after defecting to the United States.
  • Irakli Okruashvili, Defense Minister of Georgia from 2004 to 2006 and a personal friend of Georgian president Mikheil Saakashvili. Okruashvili returned to prominence when he formed an opposition party to the Georgian government and accused it of corruption and plotting assassinations. He was arrested days later on charges of extortion, bribe taking, and abuse of power, and released on $6 million bail pending trial. He flew to Europe, supposedly to seek medical treatment, but tried to find political asylum. He was denied asylum in Germany, but received it in France, which refused an extradition request from Georgia. He was tried in absentia, found guilty, and sentenced to 11 years imprisonment.
  • In 2011, Eugene Koffi Adoboli was sentenced to five years in jail in absentia stemming from an embezzlement scandal while he was Prime Minister of Togo.
  • Anwar al-Awlaki, radical Islamic cleric assassinated by drone by the United States in Yemen in 2011, was tried in abseentia by the Yemeni government.
  • Alexander Poteyev, ex-colonel of the Russian intelligence agency SVR, was sentenced in absentia to 25 years of imprisonment on the charge of high treason by Moscow court in 2011. His whereabouts are unknown; presumably he lives in the United States under protection of the US government.
  • Kent Kristensen, Danish businessman was sentenced in Romania in absentia to seven years for not paying an official in a building project. He was arrested in Spain in 2011 when he tried to save his child who was abducted by her mother. He is serving his time at the Giurgiu maximum security prison. In March 2012 it was reported that the Romania denied him his medication.
  • Amanda Knox, tried in absentia and convicted in 2013 (later cleared), for the 2007 murder of Meredith Kercher.
  • Dmitry Yazov, Soviet Marshal convicted in absentia by Lithuania for deadly military crackdown in 1991 and sentenced to 10 years in jail.
  • Julie d'Aubigny, 17th-century French duelist charged with kidnapping, arson and body snatching in absentia.
  • Muhammad Zaidan (aka. Abu Abbas), leader of the Palestine Liberation Front, was charged in Italy in absentia to five terms of life imprisonment for his role as mastermind in the 1985 hijacking of the Italian cruise ship MS Achille Lauro, which resulted in the murder of 69-year-old American Jewish passenger Leon Klinghoffer. He was captured by American forces on April 14, 2003, during the Iraq War and died on March 8, 2004, of natural causes, while in American custody.
  • Mauricio Funes, a former president of El Salvador (2009–2014), was convicted and sentenced in absentia to 14 years imprisonment in May 2023 for his role in organizing a gang truce between 2012 and 2014. At the time of his sentencing, Funes was living in exile in Nicaragua.
  • Khalid Latif, a former Pakistani cricketer, was convicted in absentia to 12 years imprisonment in September 2023 for attempting to provoke the murder of Dutch politician Geert Wilders, incitement, and threats.

Sixth Amendment to the United States Constitution

From Wikipedia, the free encyclopedia
 
The Sixth Amendment (Amendment VI) to the United States Constitution sets forth rights related to criminal prosecutions. It was ratified in 1791 as part of the United States Bill of Rights. The Supreme Court has applied all but one of this amendment's protections to the states through the Due Process Clause of the Fourteenth Amendment.

The Sixth Amendment guarantees criminal defendants nine different rights, including the right to a speedy and public trial by an impartial jury consisting of jurors from the state and district in which the crime was alleged to have been committed. Under the impartial jury requirement, jurors must be unbiased, and the jury must consist of a representative cross-section of the community. The right to a jury applies only to offenses in which the penalty is imprisonment for longer than six months. In Barker v. Wingo, the Supreme Court articulated a balancing test to determine whether a defendant's right to a speedy trial had been violated. It has additionally held that the requirement of a public trial is not absolute and that both the government and the defendant can in some cases request a closed trial.

The Sixth Amendment requires that criminal defendants be given notice of the nature and cause of accusations against them. The amendment's Confrontation Clause gives criminal defendants the right to confront and cross-examine witnesses, while the Compulsory Process Clause gives criminal defendants the right to call their own witnesses and, in some cases, compel witnesses to testify. The Assistance of Counsel Clause grants criminal defendants the right to be assisted by counsel. In Gideon v. Wainwright (1963) and subsequent cases, the Supreme Court held that a public defender must be provided to criminal defendants unable to afford an attorney in all trials where the defendant faces the possibility of imprisonment. The Supreme Court has incorporated (protected at the state level) all Sixth Amendment protections except one: having a jury trial in the same state and district that the crime was committed.

Text

In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury of the State and district wherein the crime shall have been committed, which district shall have been previously ascertained by law, and to be informed of the nature and cause of the accusation; to be confronted with the witnesses against him; to have compulsory process for obtaining witnesses in his favor, and to have the Assistance of Counsel for his defence.

The Bill of Rights in the National Archives
The hand-written copy of the proposed Bill of Rights, 1789, cropped to show the text that would later be ratified as the Sixth Amendment

Rights secured

Speedy trial

Criminal defendants have the right to a speedy trial. In Barker v. Wingo, 407 U.S. 514 (1972), the Supreme Court laid down a four-part case-by-case balancing test for determining whether the defendant's speedy trial right has been violated. The four factors are:

  • Length of delay. The Court did not explicitly rule that any absolute time limit applies. However, it gave the example that the delay for "ordinary street crime is considerably less than for a serious, complex conspiracy charge."
  • Reason for the delay. The prosecution may not excessively delay the trial for its own advantage, but a trial may be delayed to secure the presence of an absent witness or other practical considerations (e.g., change of venue).
  • Time and manner in which the defendant has asserted his right. If a defendant agrees to the delay when it works to his own benefit, he cannot later claim he has been unduly delayed.
  • Degree of prejudice to the defendant which the delay has caused.

In Strunk v. United States, 412 U.S. 434 (1973), the Supreme Court ruled that if the reviewing court finds that a defendant's right to a speedy trial was violated, then the indictment must be dismissed and any conviction overturned. The Court held that, since the delayed trial is the state action which violates the defendant's rights, no other remedy would be appropriate. Thus, a reversal or dismissal of a criminal case on speedy trial grounds means no further prosecution for the alleged offense can take place.

Public trial

In Sheppard v. Maxwell, 384 U.S. 333 (1966), the Supreme Court ruled that the right to a public trial is not absolute. In cases where excess publicity would serve to undermine the defendant's right to due process, limitations can be put on public access to the proceedings. According to Press-Enterprise Co. v. Superior Court, 478 U.S. 1 (1986), trials can be closed at the behest of the government if there is "an overriding interest based on findings that closure is essential to preserve higher values and is narrowly tailored to serve that interest". The accused may also request a closure of the trial; though, it must be demonstrated that "first, there is a substantial probability that the defendant's right to a fair trial will be prejudiced by publicity that closure would prevent, and second, reasonable alternatives to closure cannot adequately protect the defendant's right to a fair trial."

Impartial jury

The right to a jury has always depended on the nature of the offense with which the defendant is charged. Petty offenses—those punishable by imprisonment for no more than six months—are not covered by the jury requirement. Even where multiple petty offenses are concerned, the total time of imprisonment possibly exceeding six months, the right to a jury trial does not exist. Also, in the United States, except for serious offenses (such as murder), minors are usually tried in a juvenile court, which lessens the sentence allowed, but forfeits the right to a jury.

Originally, the Supreme Court held that the Sixth Amendment right to a jury trial indicated a right to "a trial by jury as understood and applied at common law, and includes all the essential elements as they were recognized in this country and England when the Constitution was adopted." Therefore, it was held that federal criminal juries had to be composed of twelve persons and that verdicts had to be unanimous, as was customary in England.

When, under the Fourteenth Amendment, the Supreme Court extended the right to a trial by jury to defendants in state courts, it re-examined some of the standards. It has been held that twelve came to be the number of jurors by "historical accident", and that a jury of six would be sufficient, but anything less would deprive the defendant of a right to trial by jury. In Ramos v. Louisiana (2020), the Court ruled that the Sixth Amendment mandates unanimity in all federal and state criminal jury trials.

Impartiality

The Sixth Amendment requires juries to be impartial. Impartiality has been interpreted as requiring individual jurors to be unbiased. At voir dire, each side may question potential jurors to determine any bias, and challenge them if the same is found; the court determines the validity of these challenges for cause. Defendants may not challenge a conviction because a challenge for cause was denied incorrectly if they had the opportunity to use peremptory challenges.

In Peña-Rodriguez v. Colorado (2017), the Supreme Court ruled that the Sixth Amendment requires a court in a criminal trial to investigate whether a jury's guilty verdict was based on racial bias. For a guilty verdict to be set aside based on the racial bias of a juror, the defendant must prove that the racial bias "was a significant motivating factor in the juror's vote to convict".

Venire of juries

Another factor in determining the impartiality of the jury is the nature of the panel, or venire, from which the jurors are selected. Venires must represent a fair cross-section of the community; the defendant might establish that the requirement was violated by showing that the allegedly excluded group is a "distinctive" one in the community, that the representation of such a group in venires is unreasonable and unfair in regard to the number of persons belonging to such a group, and that the under-representation is caused by a systematic exclusion in the selection process. Thus, in Taylor v. Louisiana, 419 U.S. 522 (1975), the Supreme Court invalidated a state law that exempted women who had not made a declaration of willingness to serve from jury service, while not doing the same for men.

Sentencing

In Apprendi v. New Jersey, 530 U.S. 466 (2000), and Blakely v. Washington, 542 U.S. 296 (2004), the Supreme Court ruled that a criminal defendant has a right to a jury trial not only on the question of guilt or innocence, but also regarding any fact used to increase the defendant's sentence beyond the maximum otherwise allowed by statutes or sentencing guidelines. In Alleyne v. United States, 570 U.S. 99 (2013), the Court expanded on Apprendi and Blakely by ruling that a defendant's right to a jury applies to any fact that would increase a defendant's sentence beyond the minimum otherwise required by statute. In United States v. Haymond, 588 U.S. ___ (2019), the Court decided a jury is required if a federal supervised release revocation would carry a mandatory minimum prison sentence.

Vicinage

Article III, Section 2 of the Constitution requires defendants be tried by juries and in the state in which the crime was committed. The Sixth Amendment requires the jury to be selected from judicial districts ascertained by statute. In Beavers v. Henkel, 194 U.S. 73 (1904), the Supreme Court ruled that the place where the offense is charged to have occurred determines a trial's location. Where multiple districts are alleged to have been locations of the crime, any of them may be chosen for the trial. In cases of offenses not committed in any state (for example, offenses committed at sea), the place of trial may be determined by the Congress. Unlike other Sixth Amendment guarantees, the Court has not incorporated the vicinage right.

Notice of accusation

A criminal defendant has the right to be informed of the nature and cause of the accusation against them. Therefore, an indictment must allege all the ingredients of the crime to such a degree of precision that it would allow the accused to assert double jeopardy if the same charges are brought up in subsequent prosecution. The Supreme Court held in United States v. Carll, 105 U.S. 611 (1881), that "in an indictment ... it is not sufficient to set forth the offense in the words of the statute, unless those words of themselves fully, directly, and expressly, without any uncertainty or ambiguity, set forth all the elements necessary to constitute the offense intended to be punished." Vague wording, even if taken directly from a statute, does not suffice. However, the government is not required to hand over written copies of the indictment free of charge.

Confrontation

The Confrontation Clause relates to the common law rule preventing the admission of hearsay, that is to say, testimony by one witness as to the statements and observations of another person to prove that the statement or observation was true. The rationale was that the defendant had no opportunity to challenge the credibility of and cross-examine the person making the statements. Certain exceptions to the hearsay rule have been permitted; for instance, admissions by the defendant are admissible, as are dying declarations. Nevertheless, in California v. Green, 399 U.S. 149 (1970), the Supreme Court has held that the hearsay rule is not the same as the Confrontation Clause. Hearsay is admissible under certain circumstances. For example, in Bruton v. United States, 391 U.S. 123 (1968), the Supreme Court ruled that while a defendant's out of court statements were admissible in proving the defendant's guilt, they were inadmissible hearsay against another defendant. Hearsay may, in some circumstances, be admitted though it is not covered by one of the long-recognized exceptions. For example, prior testimony may sometimes be admitted if the witness is unavailable. However, in Crawford v. Washington, 541 U.S. 36 (2004), the Supreme Court increased the scope of the Confrontation Clause by ruling that "testimonial" out-of-court statements are inadmissible if the accused did not have the opportunity to cross-examine that accuser and that accuser is unavailable at trial. In Davis v. Washington 547 U.S. 813 (2006), the Court ruled that "testimonial" refers to any statement that an objectively reasonable person in the declarant's situation would believe likely to be used in court. In Melendez-Diaz v. Massachusetts, 557 U.S. 305 (2009), and Bullcoming v. New Mexico, 564 U.S. 647 (2011), the Court ruled that admitting a lab chemist's analysis into evidence, without having him testify, violated the Confrontation Clause.[15][16] In Michigan v. Bryant, 562 U.S. 344 (2011), the Court ruled that the "primary purpose" of a shooting victim's statement as to who shot him, and the police's reason for questioning him, each had to be objectively determined. If the "primary purpose" was for dealing with an "ongoing emergency", then any such statement was not testimonial and so the Confrontation Clause would not require the person making that statement to testify in order for that statement to be admitted into evidence. The right to confront and cross-examine witnesses also applies to physical evidence; the prosecution must present physical evidence to the jury, providing the defense ample opportunity to cross-examine its validity and meaning. Prosecution generally may not refer to evidence without first presenting it. In Hemphill v. New York, No. 20-637, 595 U.S. ___ (2022), the Court ruled the accused had to be given an opportunity to cross-examine a witness called to rebut the accused's defense, even if the trial judge rules that defense to be misleading.

In the late 20th and early 21st century this clause became an issue in the use of the silent witness rule.

Compulsory process

The Compulsory Process Clause gives any criminal defendant the right to call witnesses in his favor. If any such witness refuses to testify, that witness may be compelled to do so by the court at the request of the defendant. However, in some cases the court may refuse to permit a defense witness to testify. For example, if a defense lawyer fails to notify the prosecution of the identity of a witness to gain a tactical advantage, that witness may be precluded from testifying.

Assistance of counsel

A criminal defendant has the right to be assisted by counsel.

In Powell v. Alabama, 287 U.S. 45 (1932), the Supreme Court ruled that "in a capital case, where the defendant is unable to employ counsel, and is incapable adequately of making his own defense because of ignorance, feeble mindedness, illiteracy, or the like, it is the duty of the court, whether requested or not, to assign counsel for him." In Johnson v. Zerbst, 304 U.S. 458 (1938), the Supreme Court ruled that in all federal cases, counsel would have to be appointed for defendants who were too poor to hire their own.

In 1961, the Court extended the rule that applied in federal courts to state courts. It held in Hamilton v. Alabama, 368 U.S. 52 (1961), that counsel had to be provided at no expense to defendants in capital cases when they so requested, even if there was no "ignorance, feeble mindedness, illiteracy, or the like". Gideon v. Wainwright, 372 U.S. 335 (1963), ruled that counsel must be provided to indigent defendants in all felony cases, overruling Betts v. Brady, 316 U.S. 455 (1942), in which the Court ruled that state courts had to appoint counsel only when the defendant demonstrated "special circumstances" requiring the assistance of counsel. Under Argersinger v. Hamlin, 407 U.S. 25 (1972), counsel must be appointed in any case resulting in a sentence of actual imprisonment. Regarding sentences not immediately leading to imprisonment, the Court in Scott v. Illinois, 440 U.S. 367 (1979), ruled that counsel did not need to be appointed, but in Alabama v. Shelton, 535 U.S. 654 (2002), the Court held that a suspended sentence that may result in incarceration cannot be imposed if the defendant did not have counsel at trial.

As stated in Brewer v. Williams, 430 U.S. 387 (1977), the right to counsel "[means] at least that a person is entitled to the help of a lawyer at or after the time that judicial proceedings have been initiated against him, whether by formal charge, preliminary hearing, indictment, information, or arraignment." Brewer goes on to conclude that once adversary proceedings have begun against a defendant, he has a right to legal assistance when the government interrogates him and that when a defendant is arrested, "arraigned on [an arrest] warrant before a judge", and "committed by the court to confinement", "[t]here can be no doubt that judicial proceedings ha[ve] been initiated."

Self-representation

A criminal defendant may represent himself, unless a court deems the defendant to be incompetent to waive the right to counsel.

In Faretta v. California, 422 U.S. 806 (1975), the Supreme Court recognized a defendant's right to pro se representation. However, under Godinez v. Moran, 509 U.S. 389 (1993), a court that believes the defendant is less than fully competent to represent himself can require that defendant to be assisted by counsel. In Martinez v. Court of Appeal of California, 528 U.S. 152 (2000), the Supreme Court ruled the right to pro se representation did not apply to appellate courts. In Indiana v. Edwards, 554 U.S. 164 (2008), the Court ruled that a criminal defendant could be simultaneously competent to stand trial, but not competent to represent himself.

In Bounds v. Smith, 430 U.S. 817 (1977), the Supreme Court held that the constitutional right of "meaningful access to the courts" can be satisfied by counsel or access to legal materials. Bounds has been interpreted by several United States courts of appeals to mean a pro se defendant does not have a constitutional right to access a prison law library to research his defense when access to the courts has been provided through appointed counsel.

Introduction to entropy

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