11.7. The impact of the rules of trial ethics on evidence

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The basic principles of trial ethics are based on the general norms applicable to a given profession1 on the one hand, and on the customary2 norms for a given procedural act on the other. This is, of course, complemented by the personal experience of colleagues with each other: for example, some judges have a strong preference for negotiation among prosecutors and defence lawyers, while in other cases it is more difficult to create a “collegial atmosphere”. This is mainly due to the style and manner of the single judge or the chairman of the chamber, and the right of contact with the defendant during the trial.3

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Naturally, ethical standards must apply not only during the hearing, but also during the “idle time” (e.g. before the hearing, during the break or immediately after the hearing).4 While the usual greeting, goodbye, handshake, etc. between colleagues is obviously not objectionable – indeed, it is expected – I consider it a matter of concern when a lawyer engages in a friendly conversation with a representative of the prosecution in front of his client.

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  • According to Gyürky, “the persons participating in the trial have no knowledge that the prosecutor, lawyer and judge may be connected by old friendship or acquaintance resulting from professional conversations in their daily work. All they see is that the behaviour of the prosecutor and the lawyer, who are taking opposing positions in the trial, changes during the recess, and if the impartial judge is involved, there is inevitably a loss of confidence or at least doubt as to whether the court will make an impartial decision.”5
  • According to Horváth, regardless of the fact that the judge and the lawyer have been sitting on the same bench for years, they should not act like strangers, but they should avoid the appearance of collusion in front of their clients.6
  • According to Hlavathy, however, “these so-called ethical requirements not only seem overly formal, but even raise the idea that rigid adherence to them would be to the detriment of the proper administration of justice, the professional and speedy handling of cases, which is hardly arguable as being in the primary and fundamental interest of both the judiciary and all participants in the proceedings.”7
  • According to Traytler, citizens simply need to be made aware of the fact that “the defender is also a private person who does not tailor his friendships and acquaintanceships to his clients.”8
 

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For my part, I have no concerns about the defence, the prosecutor and the judge agreeing on further procedural steps during the break in the trial. In fact, this can be considered as a common practice, especially between close colleagues. The point, as I see it, is that informal communication should take place in the absence of the other procedural actors.9 I would note that it is also my practice that some judges, during the break in the trial – in the absence of the accused – agree in advance with the prosecutor and the defence counsel on the sanction that is acceptable to all, in order to avoid an appeal and to ensure that the judgment is final and enforceable on the day of the trial. However, as there is no rule in the Be. that excludes the possibility of such prior consultation, this practice may raise ethical concerns at the most.

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The court has a particular duty to ensure the continued right of contact between the defender and the accused. In this regard, “there is experience that, when called upon, the judge will order a break in irritation, – whereas if the defender complies with the law and does not disturb the proceedings with his conduct, he can, acting in accordance with the law, calmly conduct a quiet conversation with the defendant, which will not disturb the course of the trial.”10 At the same time, I am concerned about an evidentiary procedure in which the possibility of contact with the accused is restricted to an unreasonably narrow range. However, both parties (accused and defence) should give some indication to the court of their intention to do so, and they should also bear in mind that this does not constitute an unlimited procedural right. The rhythm of the trial should not be disturbed by wandering, chatter, arbitrary statements or statements of a reinforcing nature (e.g. “Don’’t be afraid”). However, it is certainly justified to ensure this right if the accused asks his defence counsel for information as to whether or not he may refuse to answer a particular question. I would also note that, from the defence side, I do not consider it fair to ask for a regular break in order to inform the accused or the witness he or she proposes to call as soon as possible of the current state of the proceedings.11

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Trial ethics are of course closely related to prosecutorial and defence tactics. Here too, the principle of collegiality requires12 that procedural quirks should not inadvertently lead to a deterioration of the general professional relationship with the court. It should be remembered that the prosecutor and the defence lawyer will presumably only come into contact with the defendant in the course of a single trial, whereas they will have a working relationship with the court that will last for decades. In this context, any working method that aims at deliberately misleading the court, such as the use of obviously unfounded medical certificates or frequent requests for a postponement of the trial on the grounds of short preparation time, can jeopardise this relationship and therefore be counterproductive.

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Special mention should be made of the importance of the pleadings, where the court is required to show, or at least appear to show, due diligence.13 It is equally important for the prosecutor and the defence to avoid deliberately misleading references to one anotherin their closing arguments, as this could interfere with the court’s deliberative process.

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In addition, the court, the prosecutor14 and the defence must approach the offence charged with sufficient objectivity. This objectivity is of course “has different foundations”, since for each of the three procedural actors there is a “specific” objectivity, expressed in a consistent adherence to a particular legal position. At the same time, “the most important requirement for the judge among the participants in the trial is objectivity. Not only the appearance of it, a formal, rigid adherence to it, but also in the conduct of the whole trial, from the opening of the trial to its conclusion, so that those present feel that their case is being dealt with thoroughly and conscientiously and that a decision is being taken on the basis of the evidence that has been examined. The judge should not be influenced in his decision by his own subjective opinion, which may be motivated by personal animosity, impropriety or other circumstances of the accused or witness.”15

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Of course, the defender may also have expectations of the defendant, which he or she may have to put before the interests of the client. For example, he must not, in his comments on the evidence, create an unduly inflammatory public atmosphere or even indirectly make threatening remarks to the court. At the same time, it is also ethical for the judge not to trivialise the actions of the perpetrators of blatantly serious crimes and to show solidarity with the victim’s relatives.16
1 Also, various codes of ethics exist in this area. In addition the defence lawyer must maintain the authority of the Bar, the prosecutor the authority of the prosecution and the judge the authority of the court in his or her courtroom communications.
2 It is forbidden, among other things, (1) to give the other party a general professional qualification during the speeches (2) to criticise the decision in a loud voice during the delivery of the judgment, etc.
3 The attitudes of the prosecution and the defence at trial are primarily influenced by the attitudes of the judges. I should note that I do not see this as a problem, since the “procedural subordination” of the prosecution and defence representatives is a necessary feature of criminal trials.
4 In developing ethical rules for lawyers, it is worth considering some of the content of the Austrian Code of Conduct for Lawyers. Accordingly, (1) it is prohibited for the lawyer to terminate power of attorney in a demonstrative manner (2) it is prohibited to leave the client during the main hearing (3) it is prohibited to announce that he refuses to hear the judgement (4) he must not make any statements which could intimidate the witness or give the impression of intimidating the witness (5) he must not fail to make a report or defend the accused (6) if he/she is himself/herself under investigation for perjury, he/she may not continue to act as a defence counsel before the court (7) he is prohibited from bringing in or taking out from a person in remand custody any written communication, from bringing in food or necessaries, from bringing a stranger into the custody of the court under the name of an office employee to talk to him (8) he is prohibited from communicating to his client in the main hearing by signs the testimony of another defendant who is being separately questioned In Schuppich (1980) ibid. 931.
5 István Gyürky: Tárgyalási magatartás a bíró szemével. [Negotiation conduct through the eyes of the judge.] Magyar Jog, 1975/3–4. 192.
6 József Horváth: A büntető tárgyaláson tanúsított védői magatartás etikája. [The Ethics of Defence Conduct in Criminal Trials] Magyar Jog, , 1975/3–4. 194.
7 Attila Hlavathy: Formális etika – érdemi együttműködés. [Formal ethics substantive cooperation.] Magyar Jog, 1975/2. 88.
9 In this regard, I dispute Gyürky’s view that such out-of-court discussions are downright harmful, as they demonstrate that it is unnecessary to hold a trial. In Gyürky (1975) ibid. 192.
11 If the hearing is adjourned or a recess is ordered, the accused is given the opportunity to obtain information about the testimony of the co-defendant or witnesses. Likewise, the right to be informed also includes the right to consult potential witnesses. The latter are, of course, not obliged to answer questions from the defence outside the trial.
12 Thus, for example, the defence lawyer must provide effective professional assistance not only to the accused but also to the court in particular in clarifying the facts and weighing the evidence at the appropriate level (all this, of course, without prejudice to the procedural position of the accused).
13 In any case, the judge is also obliged to refer to the arguments made in the defence speech in the reasons for the judgment (in terms of accepting or rejecting them), so this is desirable not only from an ethical but also from a professional point of view.
14 “The court considered the prosecutor’s statement that the accused charged with drink-driving could have run over a child to death to be illegal….” in Bócz (1971) ibid. 580.
15 Gyürky (1975) ibid. 192.
16 For example, in a homicide case, you cannot say “the victim was simply in the wrong place at the wrong time.”
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