[author]WU Hongqi
[content]
The Mechanism and Roots of Sequential Conflicts
between Legal Aid Defense and Entrusted Defense
WU
Hongqi
Law School of Peking University
Abstract: In recent years, there have been
frequent conflicts between legal aid defense and family entrusted defense in a
series of influential cases. This phenomenon has dealt a significant blow to
the traditional principle of Client Priority established in China, and has also
had a negative impact on the credibility of judicial organs and the public
welfare of legal aid. We can summarize the ecology of conflicts between legal
aid defense and entrusted defense from a series of typical cases. The formation
of the conflict is based on the information isolation between the suspect and
the defendant, and the asymmetric information between the suspect/defendant,
their close relatives and their entrusted lawyers provides conditions for the
conflict. Fundamentally speaking, the conflict between legal aid defense and
entrusted defense is a product of the conflict between the excessive enthusiasm
of the entrusted lawyer for defense and the smooth handling of the case by the
investigating party. It is the result of the conflict between the loyalty obligation
of the lawyer and the public interest obligation. Overly enthusiastic defense
by lawyers cannot be prohibited solely from the perspective of disciplinary
systems, but should also be alleviated from the perspectives of defense rights
protection and procedural sanctions.
Key words: legal aid lawyer; loyalty
obligation; zealous defense ; information isolation
Introduction
In recent years, there have been frequent
occurrences in a series of criminal cases with significant social impact where
lawyers entrusted by close relatives are unable to intervene in the case in a
timely manner due to the fact that the investigating authorities have already
or are preparing to assign legal aid lawyers, such as the arson case of a nanny
named Mo in Hangzhou (hereinafter referred to as the "Mo case") and
the suspected murder case of Lao in Jiangxi (hereinafter referred to as the
"Lao case"), resulting in the problem of conflicts between entrusted
lawyers and legal aid lawyers. This phenomenon should not have occurred because
the Criminal Procedure Law of the People's Republic of China (hereinafter
referred to as the "Criminal Procedure Law") promulgated in 1979 had
already established the basic principle of prioritizing entrusted defense.
Article 27, Paragraph 1 of the Criminal Procedure Law promulgated in 1979 stipulates:
"In cases where the prosecutor appears in court for public prosecution and
the defendant has not appointed a defense counsel, the people's court may
appoint a defense counsel for him. Subsequently, this principle has been
continuously strengthened through various amendments to the Criminal Procedure
Law and relevant rules such as the Legal Aid Regulations. However, this
conflict has repeatedly occurred in several influential cases in recent years,
arousing the attention of the legal community and the public to related issues.
This phenomenon, known as "pit occupying defense" by the legal
profession, has also sparked criticism from academia regarding related
practices. In response to this issue, some scholars have confirmed and
emphasized the basic principle of "entrusting defense before legal aid
defense". At the legislative level, the "Legal Aid Law of the
People's Republic of China" (hereinafter referred to as the "Legal
Aid Law") implemented in 2022 and the "Interpretation of the Supreme
People's Court on the Application of the Criminal Procedure Law of the People's
Republic of China" (Fa Shi [2021] No. 1, hereinafter referred to as the
"Judicial Interpretation of the Criminal Procedure Law") implemented
in 2021 have also provided detailed provisions on this issue, re emphasizing
the principle of prioritizing entrusted defense and respecting the opinions of
the defendant in resolving conflicts between lawyers entrusted by close
relatives and legal aid lawyers.
If a strange phenomenon only occurs in one
case, it may be an accidental phenomenon, but if it repeatedly occurs in many
cases, there must be some inevitable factors behind it. Therefore, it is
necessary to ask why conflicts between appointed lawyers and legal aid lawyers
still occur frequently in judicial practice when the principle of priority for
entrusted defense is clearly stipulated in laws such as the Criminal Procedure
Law and the Legal Aid Law? Can these theoretical arguments and legislative and
judicial interpretations effectively respond to and prevent similar conflicts
from occurring? To answer this series of questions, it is necessary to delve
into the formation mechanism and root causes of conflicts between legal aid
lawyers and commissioned lawyers.
1. Analysis of the Sequence of Legal Aid
Defense and Commissioned Defense
To truly understand the conflict between legal
aid lawyers and commissioned lawyers, it is necessary to delve into these cases
to observe the process of conflict formation and summarize the common problems
that exist in these cases. Therefore, this article selects four typical cases
in which this phenomenon has occurred in recent years for investigation. These
four cases are respectively the "Mo case" in Hangzhou, Zhejiang, the
"Lao case" in Nanchang, Jiangxi, the "Zhou case" in
Changsha, Hunan, and the "Xu case" in Lianyungang, Jiangsu. As shown
in Table 1, in these cases, the conflict between the legal aid lawyer and the
appointed lawyer is not actually a conflict between the legal aid lawyer and
the lawyer directly appointed by the defendant. More precisely, it is mainly
manifested as the order issue between the lawyer appointed by the close
relatives on behalf of the defendant and the legal aid lawyer appointed by the
case handling authority. According to Article 34 of the Criminal Procedure Law,
suspect have the right to entrust defenders from the date of the first
interrogation or compulsory measures taken by the investigation organ. If a
suspect or defendant is in custody, his guardian or near relative may also act
as a defender on his behalf. However, lawyers entrusted by close relatives need
to meet with the suspect and the defendant to sign the entrustment agreement
before the entrustment relationship can be formally established. The lawyer
entrusted by a close relative is obstructed in the process of meeting, and the
reason for the obstruction is that the case handling agency has appointed a
legal aid lawyer for the suspect or defendant. As a result, the issue of
conflict between legal aid lawyers and appointed lawyers has arisen.
1.1 Common elements of conflict between legal
aid lawyers and commissioned lawyers
By summarizing these four cases, the following
five common characteristics can be identified.
Firstly, these four cases all belong to cases
that have a certain impact in the region or even nationwide. This type of case
is also known as a "public case" and has a similar concept in the
Criminal Procedure Law, such as major and difficult cases, whose
characteristics often result in special treatment in case handling. Firstly,
due to the widespread attention this type of case receives, it will receive
special attention in the criminal litigation process. For example, Article 213
of the Judicial Interpretation of the Criminal Procedure Law stipulates which
cases require the participation of people's jurors in the trial, and one of
them is cases with significant social impact. Moreover, Article 216 of the
Judicial Interpretation of the Criminal Procedure Law also stipulates that
cases with significant social impact can be submitted to the adjudication
committee for decision. Secondly, influential cases often have great appeal to
criminal defense lawyers nationwide. Many lawyers pay attention to such
influential cases and hope to gain their social and professional reputation
through them. These four cases are all influential cases, so they will receive
high attention from public opinion, correspondingly, they will also be highly
valued by the investigating authorities, and will also receive attention from the
legal profession. Finally, it should be noted that whether a case becomes an
influential case requires certain conditions. Some cases may not initially be
influential cases, but with the intervention of the media, they may become
influential cases.
Secondly, the defendants in all four cases are
in custody. Due to the defendant being in custody, they are unable to hire a
lawyer on their own and can only have their close relatives hire a lawyer on
their behalf or apply for legal aid. Due to this detention status, the
willingness to entrust a lawyer or apply for legal aid cannot be directly
expressed, and can only be conveyed through detention center staff or other
investigators. As mentioned earlier, the so-called conflicts in the four cases
initially occurred when lawyers appointed by close relatives applied for a
meeting. Because the lawyer entrusted on behalf needs to obtain his/her own
authorization by applying for interview, but he/she was hindered in the first
interview because the suspect or defendant has been assigned or is ready to be
assigned a legal aid lawyer. Therefore, to a certain extent, it can be said
that the defendants in all four cases are in a state of isolation from the
outside world, which is an important reason for the conflict between the
appointed lawyer and the legal aid lawyer.
Thirdly, the main conflicts in these four cases
occurred between the appointed legal aid lawyer and the lawyer appointed by
close relatives. The lawyer appointed by close relatives often precedes the
appointment of legal aid lawyers, or at least in some cases, the lawyer
appointed by close relatives precedes the appointment of legal aid lawyers.
Fourthly, in these four cases, the lawyers
entrusted by close relatives are mainly lawyers from other places. For example,
in the case of Mo, Mo initially hired a party lawyer from Guangzhou, and later
hired two lawyers, one from Beijing and the other from Shanghai. The two
lawyers entrusted by Lao's close relatives are both from Beijing. The two
lawyers entrusted by the "Xu case" are lawyers from Shanghai, and one
of them is also a defense lawyer for the famous "Zhang case" in
Shaanxi. In the first instance of the case of Zhou, his close relatives
entrusted lawyers from a local law firm in Hunan, but in the second instance,
they entrusted lawyers from a well-known legal team in Beijing. So except for
the case of Zhou, most of the lawyers entrusted by close relatives are from
other places, and these lawyers from other places have certain influence in the
industry. Legal aid lawyers are mainly local lawyers, who are notified by the
case handling authorities and appointed by local legal aid agencies.
Fifthly, there are many commonalities in the
subsequent handling of conflicts between lawyers entrusted by close relatives
and legal aid lawyers. The first instance of the "Mo case" was
defended by a legal aid lawyer, but the second instance was defended by a
lawyer commissioned by a close relative. The same applies to the case of Lao,
where the first instance was defended by a lawyer with legal aid, and the
second instance was defended by a lawyer commissioned by a close relative. In
the case of Zhou, the first instance was also defended by legal aid lawyers,
and the second instance was defended by lawyers commissioned by close
relatives. The conflict in the "Xu case" in Jiangsu mainly occurred
in the second instance, so in the end, the lawyer voluntarily withdrew and was
defended by a legal aid lawyer. But in the first instance of the case, Xu was
defended by a lawyer commissioned by his close relatives.
The above five characteristics generally
outline the basic points of the occurrence of such phenomena, including case
types, nodes of conflicts, subjects of conflicts, temporal order of conflicts,
and post event handling methods. To a certain extent, it is precisely these
commonalities that constitute the key elements of conflicts between legal aid
lawyers and lawyers commissioned by close relatives in these cases. To
alleviate and eliminate the occurrence of such conflicts, it is necessary to
have a deep understanding of these key elements and the reasons behind their
formation.
1.2 The Harm of Conflict between Legal Aid
Defense and Commissioned Defense
First, this conflict may infringe upon the
autonomy of lawyers entrusted by suspect and defendants, thus affecting their
effective defense. In terms of case handling, the ability to obtain effective
and independent defense is an important factor in the fair handling of criminal
cases. This effective and independent defense is based on the defendant's
independent choice of defense counsel. Ensuring the defendant's independent
choice of defense counsel is beneficial for the formation of a mutual trust
relationship between the defendant and their defense counsel. The effective
defense of the defendant requires sufficient communication and trust between
the defendant and their defense counsel. The conflict between legal aid defense
and commissioned defense makes it difficult for lawyers appointed by the
defendant's close relatives to intervene in the case in a timely manner, and
even to have the opportunity to meet with the defendant. This will to some
extent affect the defendant's autonomy in appointing lawyers.
Secondly, such conflicts may raise doubts about
the fairness of the litigation process among the close relatives of the
defendant and even the entire society, thereby affecting the credibility of
China's judicial organs in handling cases fairly. From the perspective of
fairness in criminal proceedings, allowing the defendant to choose a defense
lawyer is very important. For the defendant and their family members, if the
lawyer appointed by close relatives cannot intervene in the case in a timely
manner, it is easy to raise doubts about the fairness of the case handling
process, which may lead to dissatisfaction with the substantive results of the
case. More importantly, as these cases are all cases with significant social
impact, the occurrence of such conflicts in the case will raise doubts among
the public about the abnormal phenomenon of legal aid lawyers taking priority
over lawyers entrusted by the defendant's close relatives to intervene in the
case in advance, thereby raising significant doubts about whether the defendant
can independently choose a defense counsel and whether the case as a whole has
been fairly handled. If such phenomena occur frequently, it will lead to doubts
among the public about the overall credibility of the judicial organs.
Finally, the continued occurrence of such
conflicts will erode the public welfare foundation of China's legal aid system,
which may lead to significant questioning of the public welfare nature of
China's legal aid system by the entire society. The legal aid system is a
safeguard system that guarantees basic needs and provides financial assistance.
Legal aid services are necessary if the applicant has not appointed a defense
or representative and meets the criteria of financial difficulties. At present,
the state encourages and supports social forces such as enterprises, institutions,
social organizations, and individuals to provide support for the legal aid
industry through donations and other means in accordance with the law (Article
9 of the Legal Aid Law). Once the public welfare and guarantee of the legal aid
system are questioned, it may also affect the support of social forces for the
legal aid industry. Legal aid lawyers are subsidized by national funds, and
legal aid is actually a subsidized and fallback right. Legal aid can only be
provided when the parties really need it. If the parties have the ability to
entrust lawyers, there is no need to provide legal aid for them anymore.
2. Institutional response and its limitations
Due to the enormous destructive impact hidden
in such phenomena, it is necessary to govern and prevent them from multiple
levels such as systems and theories. The designated defense provided by legal
aid and the defense obtained by the parties through delegation, although
different in terms of funding sources and institutional positioning, have
certain similarities in practice because their goals are to provide legal
services for the accused. In terms of coordinating the relationship between
legal aid defense and commissioned defense, China established the principle of
prioritizing commissioned defense as a basic guideline for handling the
relationship between legal aid defense and commissioned defense as early as the
beginning of the reform and opening up. For a long time in the past, this
principle did not receive special attention and there was no controversy. Due
to the frequent occurrence of conflicts between designated defense and
entrusted defense by close relatives, there has been a divergence of
understanding between the theoretical and practical circles regarding the
principle of prioritizing entrusted defense.
2.1 The traditional system of prioritizing the
principle of entrusted defense
The establishment of the principle of
prioritizing entrusted defense in China can be roughly divided into two stages.
The first stage is before the frequent occurrence of conflicts between legal
aid defense and commissioned defense. At this stage, China mainly established
the principle of prioritizing entrusted defense through two paths at the
institutional level. The first path is at the level of the Criminal Procedure
Law and related judicial interpretations. Article 27 of the Criminal Procedure
Law promulgated in 1979 stipulates: "In cases where the prosecutor appears
in court for public prosecution and the defendant has not appointed a defense counsel,
the people's court may appoint a defense counsel for him." From this
provision, it can be seen that the prerequisite for appointing a defense
counsel is that the defendant has not appointed a defense counsel. The 1996
amendment to the Criminal Procedure Law essentially inherited this provision
and added a prerequisite for appointing a defense counsel. Article 34 of the
revised Criminal Procedure Law in 1996 stipulates: "In cases where the
prosecutor appears in court for public prosecution, if the defendant has not
appointed a defense counsel due to economic difficulties or other reasons, the
people's court may designate a lawyer who is obligated to provide legal aid to
provide defense for them." In addition, two situations of mandatory
appointment of defense are also stipulated: the first is when the defendant is
blind, deaf, mute or a minor and has not appointed a defense counsel; The
second type is that the defendant may be sentenced to death without appointing
a defense counsel. So, the basic principle of prioritizing entrusted defense
was actually established in the Criminal Procedure Law promulgated in 1979, and
continued through amendments to the Criminal Procedure Law in 1996, 2012, and
2018. The second path is the emphasis on the principle of prioritizing
entrusted defense in the Legal Aid Regulations and related provisions. The 10th
and 12th articles of the "Legal Aid Regulations" implemented in 2003
stipulate the circumstances in which legal aid can be applied for, and three of
them explicitly state that the absence of a defense lawyer or the hiring of a
lawyer is a condition for application. Meanwhile, according to Article 23 of
the Legal Aid Regulations, if personnel handling legal aid cases encounter
situations where their beneficiaries have entrusted lawyers or other agents on
their own, the legal aid institution shall terminate the legal aid after
review. Therefore, it can be said that since the reform and opening up, China
has clearly stipulated the basic principle of prioritizing entrusted defense
from the aspects of the Criminal Procedure Law and the Legal Aid Regulations.
2.2 Divergence in the New Era: Prioritizing
Commissioned Defense or Parties' Choice
In recent years, after the conflict between
legal aid defense and commissioned defense occurred, relevant laws and judicial
interpretations have further refined the principle of prioritizing commissioned
defense on the basis of traditional regulations. The Judicial Interpretation of
the Criminal Procedure Law, revised at the end of 2020, further stipulates the
conflict between entrusted defense and legal aid defense in practice. Article
51 of the Judicial Interpretation of the Criminal Procedure Law stipulates:
"If a legal aid institution assigns a lawyer to provide defense for a
defendant, and the defendant's guardian or close relatives appoint a defense
lawyer on their behalf, the defendant's opinion shall be heard and the defense
lawyer shall be determined by them." This provision establishes the
principle that the defendant's opinion shall be heard and the defense lawyer
shall be determined by them in response to conflicts between lawyers appointed
by close relatives on their behalf and those appointed as legal aid lawyers.
This means that when entrusted defense and legal aid defense coexist, the
defendant can freely choose between the two. But this interpretation has been
questioned by some scholars. This questioning can be divided into two different
positions: the first viewpoint holds that it is acceptable to give the
defendant the right to choose between a lawyer appointed by close relatives and
a legal aid lawyer in this situation, but the relevant regulations are not
comprehensive enough. The second view is that, according to the third paragraph
of Article 34 of the Criminal Procedure Law, the guardians and close relatives
of the suspect and the defendant should have relatively independent power of
attorney. As long as the guardians and close relatives act as the entrusted
defenders, the entrustment relationship has also been determined, and legal aid
should be withdrawn, the defendant has no right to choose "legal aid or
entrusted defense", but can only choose "which defense lawyer"
to entrust. The existence of such a dispute itself highlights that there is
still room for further discussion on the legitimacy and certainty of this
provision.
The Legal Aid Law promulgated in 2021 has
further responded to this. On the one hand, the Legal Aid Law continues the
relevant provisions of Article 23 (3) of the 2003 Legal Aid Regulations in
Article 48, which includes "the recipient entrusts a lawyer or other agent
on their own" as one of the circumstances in which the legal aid
institution should make a decision to terminate legal aid; On the other hand,
with regard to the conflict between legal aid defense and entrusted defense,
Article 27 of the Legal Aid Law stipulates: "When the people's court, the
people's procuratorate, and the public security organ notify legal aid
institutions to appoint lawyers as defenders, they shall not restrict or damage
the rights of suspect and defendants to entrust defenders." Through this
provision, legislators expect to systematically eliminate the occurrence of
"pit occupying defense". But in fact, this clause does not stick to the
principle of priority of traditional entrusted defense, but only emphasizes
that the appointment of lawyers shall not limit or damage the rights of suspect
and defendants to entrust defenders. If we combine the provisions of the
above-mentioned Judicial Interpretation of the Criminal Procedure Law on the
relevant rights that suspect and defendants can choose, even if suspect and
defendants choose designated legal aid lawyers, their right to entrust
defenders has not been "restricted or damaged", nor has it violated
the corresponding provisions. Therefore, Article 27 of the Legal Aid Law does
not actually return to the traditional principle of natural priority for
entrusted defense. It only emphasizes that the right of the defendant to
entrust a lawyer should be protected and should not be violated due to the
appointment of a defense.
2.3 Limitations of existing institutional
responses
Firstly, the existing institutional response
has not provided a clearer implementation of the principle of prioritizing
entrusted defense, but rather poses a risk of mutual dissolution. From the
above analysis, it can be seen that since 1979, the basic principle of
prioritizing entrusted defense has been clearly established through the
relevant provisions of the Criminal Procedure Law and legal aid. The core
connotation is that entrusted defense takes priority over designated defense of
legal aid. In the presence of entrusted defense, designated defense of legal
aid should be "withdrawn". But in the new era of development, whether
in judicial practice or judicial interpretation, this clear principle seems to
have been blurred to a certain extent. Article 51 of the Judicial
Interpretation of the Criminal Procedure Law in 2021 emphasizes the principle
of prioritizing the client's wishes, which may potentially conflict with the
traditional principle of prioritizing the client's defense.
When close relatives entrust lawyers and legal
aid lawyers to coexist, it seems theoretically feasible to listen to the
opinions of the accused. Both the suspect and the defendant are in custody. At
this time, the question of how to listen to the opinions of the accused arises.
Who will listen to the opinions of the accused? After listening to the
opinions, how can they be conveyed? Because at this time, the accused is in a
state of detention, which is actually a unilateral message conveyed by the
investigating authority. The transmitter of this message, that is, the
investigating authority itself, has the right to appoint legal aid lawyers. The
family members of the accused actually have no way to know the wishes of the
accused through an effective channel. They can only obtain information through
the communication of the investigating authorities, but this has not
effectively resolved the conflict between the lawyers entrusted on their behalf
and the legal aid lawyers. Although the 2021 Judicial Interpretation of the
Criminal Procedure Law has made significant progress in this regard, this
provision cannot effectively resolve the conflict between lawyers entrusted by
close relatives and legal aid lawyers.
Secondly, there is ambiguity in Article 27 of
the Legal Aid Law, which lacks effective remedies for resolving related issues.
As mentioned above, Article 27 of the Law on Legal Aid responds to the conflict
between lawyers entrusted by close relatives and legal aid lawyers. "When
people's courts, people's procuratorates, and public security organs notify
legal aid institutions to appoint lawyers as defenders, they shall not restrict
or impair the rights of suspect and defendants to entrust defenders.".
This article mainly stipulates from the perspective of prohibition, and
prohibits the restriction or damage of the suspect and the defendant's
entrustment of defenders from the negative perspective, hoping to resolve the
conflict between entrustment of defense and legal aid defense. This is
undoubtedly an important and targeted clause. However, from the perspective of
judicial practice, the following problems may still exist in the implementation
of this clause: (1) This clause guarantees the right of suspect and defendants
to entrust defenders in an indirect and negative way. As mentioned above, this
clause is not fundamentally different from Article 51 of the Judicial
Interpretation of the Criminal Procedure Law in terms of content. It takes the
independent choice of the suspect and the defendant as the core criterion for
judgment, so it meets the previous problem: how can the suspect and the
defendant's willingness to make their own choice be confirmed, especially when
the suspect and the defendant are detained. (2) As a prohibitive provision,
this clause lacks corresponding relief clauses as supporting measures.
According to the principle of procedural law, there is no right without relief.
Although prohibitive clauses are stipulated and the objects to which they apply
are defined as the people's courts, the people's procuratorates, and the public
security organs, if the case handling organs violate the prohibitive clauses,
there are no clear punitive consequences, which makes the prohibitive
provisions of the clause easy to be ignored or avoided. Therefore, the conflict
does not exist because of the principle of the priority of entrusted defense
itself, but because of the lack of safeguards for the principle of the priority
of entrusted defense in practice. Simply emphasizing the protection of the
choice of suspect and defendants from the legislative and judicial
interpretation level cannot effectively solve the conflict between legal aid
defense and the entrusted defense of close relatives.
Thirdly, the provision in Article 48 of the
Legal Aid Law regarding the termination of legal aid has also failed to
effectively address related issues. According to Article 23, Paragraph 3 of the
2003 Legal Aid Regulations, if the recipient entrusts a lawyer or other agent
on their own, the legal aid institution shall terminate the legal aid. On the
basis of this clause, according to Article 48 of the Legal Aid Law, if the
recipient entrusts a lawyer or other agent on their own, the legal aid
institution shall make a decision to terminate the legal aid. During the
drafting process of the Legal Aid Law, in response to the issue of conflicts
between close relatives entrusting lawyers and assigning legal aid lawyers in
judicial practice, some experts suggested that Article 48 (6) should be amended
to "the recipient and their close relatives have already entrusted lawyers
or other agents on their own", while some scholars proposed that
"guardians or close relatives entrusting lawyers" be one of the
situations for terminating legal aid, hoping to fundamentally solve the
conflict problems that arise in practice through this clear provision. However,
this suggestion has not been accepted by the legislative body. Currently,
Article 48 of the Legal Aid Law only stipulates that "the recipient
entrusts a lawyer or other agent on their own" as a condition for
terminating legal aid, and does not extend to the situation where "the
recipient's guardian or close relatives entrust on their behalf".
3. A temporary solution: the resolution of
information isolation and the improvement of sanctions measures
The principle of the priority of entrusted
defense has been replaced by the "choice by the will of the parties"
stipulated in the Judicial Interpretation of the Criminal Procedure Law in the
process of concrete implementation, and the termination of legal aid provisions
of the Legal Aid Law only regard "the recipient entrusts lawyers or other
agents on his own" as the condition for termination of legal aid. The crux
of the problem is how to confirm the will of suspect and defendants. The path
of clarifying "proxy delegation" as a condition for terminating legal
aid in legislation has not been recognized by the legislative body, and the legal
interpretation of treating proxy lawyers as client delegations is still at the
level of theoretical interpretation. In the absence of further confirmation in
legislation and legal interpretation, resolving conflicts between commissioned
lawyers and legal aid lawyers may require a shift in mindset. The node of
conflict in the above four cases is that the entrusted lawyer needs to go to
the detention center to meet with the suspect and the defendant to obtain the
confirmation of entrustment intention. Therefore, a more direct improvement
path is to break through the information barrier between the entrusted lawyer,
the suspect and the defendant, so as to ensure that the wishes of the suspect
and the defendant can be clearly expressed.
3.1 The duty of the investigating authority to
inform
How did the suspect and defendant make their
wishes? First of all, we need to pay attention to whether the suspect and the
defendant are wise in making their wishes. The premise for the suspect and the
defendant to express their wishes wisely should be that they have obtained
sufficient information. The suspect and the defendant can make a wise decision
only when they have sufficient information. When the suspect and defendant are
in custody, most of the case information they know comes from the case handling
organ. According to Article 34 of the Criminal Procedure Law, when
interrogating a suspect for the first time or taking compulsory measures
against a suspect, investigators should inform the suspect that he has the
right to entrust a defender. The People's Procuratorate and the People's Court
shall, within three days from the date of the corresponding time node, inform
the suspect and the defendant that they have the right to entrust defenders.
This article also stipulates the obligation to convey. If a suspect or
defendant requests to entrust a defender while in custody, the case handling
organ shall convey his request in a timely manner. From Article 34, it can be
seen that the Criminal Procedure Law stipulates the obligation to inform and
convey, but in the specific implementation, the obligation to inform seems to
have not been effectively fulfilled, resulting in conflicts between close
relatives entrusting lawyers and legal aid lawyers in all four cases.
What should the case handling organ tell the
suspect and defendant? It may not be enough to just tell the suspect and the
defendant that they have the right to have a lawyer. In judicial practice, the
vast majority of defendants lack legal knowledge and are unable to distinguish
between legal aid lawyers and lawyers hired at home. So it is not enough to
just inform the suspect and the defendant that they have the right to hire a
lawyer, but also inform the suspect and the defendant of other contents,
including whether their close relatives will hire a lawyer for them and whether
they have hired a lawyer. If the suspect and the defendant do not know the
corresponding information, they can only make unwise wishes in a state of lack
of information.
The Criminal Procedure Law only stipulates that
the case handling organ can tell the suspect and the defendant that they have
the right to hire a lawyer, and the case handling organ can also convey the
wishes of the suspect and the defendant to their close relatives. However, it
is not clear whether the wishes of their close relatives, whether they are
willing to entrust or not, and other matters need to be fed back to the suspect
and the defendant. That is to say, the current provision of the Criminal
Procedure Law regarding notification is only a one-way notification, rather
than a two-way notification obligation. The wishes of close relatives cannot be
conveyed to the accused through the investigating authorities, or there is no
provision for them to be conveyed through the investigating authorities,
resulting in the accused making decisions in a state of information scarcity.
Therefore, it is necessary to emphasize the obligation of two-way disclosure
from the perspectives of legislation and judicial interpretation, in order to
avoid blind decision-making by the accused. At present, some places have made
some attempts in this regard. For example, in 2015, the People's Procuratorate
of Guangdong Province issued Several Opinions of the People's Procuratorate of
Guangdong Province on Safeguarding the Practicing Rights of Defense Lawyers in
accordance with the Law (for trial implementation). Article 2 of this provision
particularly emphasizes that if a suspect who is in custody or under
residential surveillance at a designated residence proposes to entrust a
defender, or requests to notify his guardian or close relatives to entrust a
defender, the People's Procuratorate shall convey his request within three
working days. If the guardian or near relative of a suspect entrusts a defense
lawyer on his behalf, the People's Procuratorate shall promptly notify the
suspect, who shall confirm the entrustment relationship.
In order to ensure that suspect, especially
detained suspect, can obtain sufficient information, the practices of foreign
countries can provide some references for China. In the UK, when a suspect is
detained, he must be informed in writing that he has the following rights:
first, let the relevant personnel know the information about his arrest;
Secondly, he can meet with the legal representative privately without paying
any fees. France also has similar provisions. At the beginning, suspect in
custody must be informed of their rights to: first, inform relatives of the
fact of his arrest by telephone; The second is to contact a proxy lawyer or
duty lawyer and provide them with a thirty minute consultation before being
questioned. When a suspect is in custody, he is helpless. If he only has
information from the case handling organ at this time, his information channel
is single. In this case, his decisions and intentions are essentially blind. In
order to enable him to make more informed decisions with relatively sufficient
information, it is necessary to provide him with relatively diverse channels of
information, so that he can wisely choose whether to hire a lawyer and what
kind of lawyer to hire.
3.2 Suspect and defendant will transmission
mechanism
How are the wishes of the suspect and defendant
conveyed to their close relatives? In these four cases, the channels for
suspect and defendants to convey their wishes are very single, and they can
only be conveyed through the case handling organ. Even if the accused transmits
their wishes by telephone, they are often questioned. The suspect and the
defendant communicate through telephone channels, and the voluntariness of this
communication may also be questioned, because the suspect and the defendant are
in custody. If the entrusted lawyer cannot meet, and the close relatives cannot
meet with the suspect and the defendant, at this time all channels are
"monopolized" by the case handling agency and the detention center,
and all opinions can only be conveyed through the case handling agency and the
detention center, but the opinions conveyed by the case handling agency cannot
be trusted by the suspect, the defendant's family members and the public. At
this time, it is easy to fall into the "Tacitus trap" of public
trust.
In such cases, no matter what kind of
information the case handling organ conveys, it is difficult to show that the
information truly reflects the wishes of the suspect and the defendant. Even if
the case handling organ conveys the wishes of the suspect and the defendant, it
is difficult to win trust from their families and the public. This phenomenon
is also due to the poor information communication. There is an information
barrier between the suspect, the accused and their family members, and the two
sides cannot talk or communicate. At this time, on the one hand, lawyers
entrusted by close relatives need to see the suspect and the defendant to
obtain the entrustment; On the other hand, the case handling organ refused to
allow the lawyer entrusted by close relatives to meet on behalf of the suspect
and the defendant on the ground that they had received or were ready to receive
legal aid lawyers, and the lawyer entrusted could not understand the wishes of
the suspect and the defendant without meeting. There is no way for close
relatives to determine that the will conveyed by the case handling organ is the
true will of the suspect and the defendant. The close relatives of the suspect
and the defendant then show distrust of the case handling organ.
There are two ways to solve this problem in the
future. The first way is to allow lawyers appointed by close relatives to meet
with the accused and confirm their wishes through the meeting. Only in this way
can close relatives gain confidence and better protect the accused's
independent choice of defense lawyers. The second way is to allow close
relatives to communicate and consult with the suspect and the defendant about
the entrustment. Ensuring communication between the accused and their close
relatives regarding the issue of legal representation can effectively safeguard
the accused's right to defense and also effectively eliminate doubts from their
close relatives and society.
3.3 Procedural sanction mechanism for
safeguarding the right of independent choice of the accused
The exercise of rights needs to be safeguarded
through corresponding punitive consequences, otherwise rights can easily become
mere words on paper. Procedural rights need to be protected through the
invalidation of relevant procedural violations through procedural sanctions.
Article 238 of the Criminal Procedure Law stipulates procedural sanctions,
which should be revoked and remanded for retrial in five situations. The third
situation is the deprivation or restriction of the parties' legal litigation
rights, which may affect a fair trial. If the right of defense of suspect and
defendants is violated, they can also invoke Article 238 of the Criminal
Procedure Law to obtain relief in practice. However, the willingness of the
accused to choose a defense lawyer has been somewhat violated or restricted.
From the current judicial practice, it has not been regarded as "depriving
or restricting the legal litigation rights of the parties", so there will
be no corresponding punitive consequences. This may also lead to some law
enforcement agencies using certain means to indirectly restrict the accused's
right to choose a defense lawyer.
A suspect in the UK is entitled to a written
notice when he is in custody. This written notice is mainly to inform him of
the corresponding rights he enjoys. For example, to let the relevant personnel
know the information about his arrest, they can meet the lawyer in private or
seek legal help. If the relevant rights are deprived, the arrest is illegal,
which in turn leads to subsequent detention being illegal, especially if the
parties are not informed of the possibility of obtaining legal advice or verbal
warnings, which may result in the exclusion of evidence obtained from
questioning after the arrest at the trial stage. This punitive measure can
effectively ensure the effective realization of the right of the accused to be
informed and conveyed.
In the 2006 case of United States v. Gonzalez
Lopez, the defendant Lopez was accused of conspiracy to drug trafficking, and
his family hired a lawyer to defend him. In the subsequent proceedings, the
defendant requested that a lawyer from California join his legal team to defend
him. This California lawyer also submitted multiple applications to the court,
but all applications were rejected without reason. Later, the defendant had no
choice but to hire a local lawyer. The local lawyer requested that the
California lawyer join him in the defense, but this request was also rejected.
After the jury found the defendant guilty, the defendant Lopez appealed on the
grounds that his right to hire a lawyer under the Sixth Amendment to the United
States Constitution had been violated. The Federal Eighth Circuit Court, which
heard the appeal, held that the amendment granted the defendant's right to
defense not only means having a lawyer to defend them, but also implies that
the defendant can hire their favorite lawyer to defend them. Therefore, the
court ruled that the actions in this case violated the defendant's right to
choose a lawyer, and thus violated his right to defense under the Sixth
Amendment to the United States Constitution. It supported Lopez's appeal
request and remanded the case for retrial. In response to this restriction, the
court remanded the case for retrial, providing a procedural sanction safeguard
for the defendant's right to independently hire a lawyer.
In China, the procedural sanction clause for
second instance in Article 238 of the Criminal Procedure Law has not yet been
fully activated. When the right of the accused to freely hire a lawyer they
trust is violated, it is difficult for the accused to invoke Article 238 of the
Criminal Procedure Law to obtain relief from the retrial procedure. If the case
handling authority infringes on the right of suspect and defendants to choose
lawyers according to their own wishes, but has no impact on the trend of
subsequent cases, then this right to choose lawyers according to their own
wishes will be easily infringed. In the future, the following approaches can be
considered to further strengthen the defense's remedies when encountering
relevant issues. On the one hand, in the pre-trial stage, the suspect's right
to choose a lawyer has been violated. According to Article 567, Item 14 of the
Rules of Criminal Procedure of the People's Procuratorate (GJFSZ [2019] No. 4),
it can be regarded as a situation that "obstructs the parties, defenders,
agents ad litem and lawyers on duty from exercising their procedural rights
according to law" for legal supervision; On the other hand, in response to
the infringement of the defendant's right to choose a lawyer by the first
instance people's court, the restriction of the defendant's right to choose a
defense counsel can be considered as a situation that "deprives or
restricts the legal litigation rights of the parties, which may affect the fair
trial" through guiding cases.
4. Exploration of the Root Cause: Conflict and
Resolution between Loyalty Obligations and Public Welfare Obligations
Changing the information closure of suspect and
defendants is only a temporary solution to the conflict between lawyers
entrusted by close relatives and legal aid lawyers. To truly resolve this
conflict, we need to further explore the root causes of this conflict. The real
reason for this phenomenon is still the conflict of interests behind it.
4.1 The "dual center model" of lawyer
loyalty obligation and public welfare obligation
The conflict between proxy lawyers and legal
aid lawyers may appear to be a conflict between law enforcement agencies and
lawyers, but at its root, it involves a deep-seated ethical conflict in the
legal profession, namely the conflict between lawyers' loyalty obligations to
their clients and their public welfare obligations to the country and society.
After the reform and opening up, with the reform of the legal industry and the
continuous establishment of lawyers' autonomy, the legal industry has established
a "dual center model": on the one hand, lawyers need to bear the
obligation of loyalty, actively serve the interests of their clients as much as
possible, and maximize the interests of their clients; on the other hand, they
must not engage in any behavior that harms or hinders the interests of their
clients; On the other hand, lawyers also need to undertake public welfare
obligations towards the public interest, which means the obligation to respect
the truth of the facts, uphold the implementation of the law, and maintain
social fairness and justice. The "dual center model" of lawyer
professional ethics represents to some extent the different expectations of
society towards the role of lawyers, but these different expectations often lead
to varying degrees of conflicts in practice.
Article 1 of the Provisional Regulations of the
People's Republic of China on Lawyers, issued in 1980, defines lawyers as legal
workers of the state, whose task is to provide legal assistance to state
organs, enterprises, institutions, social organizations, people's communes, and
citizens, in order to maintain the correct implementation of the law, safeguard
the interests of the state and collectives, and the legitimate rights and
interests of citizens. Therefore, the service objects of lawyers are first and
foremost the state and collectives, and their primary purpose is to maintain
the correct implementation of the law and safeguard the interests of the state
and collectives. Article 2 of the Lawyer Law of the People's Republic of China
(hereinafter referred to as the Lawyer Law) passed in 1996 stipulates that
"lawyers referred to in this Law refer to practitioners who have obtained
a lawyer's practice certificate in accordance with the law and provide legal
services to society." At this time, the role of lawyers was to provide
legal services to society as "practitioners". In 2007, the Lawyer Law
was revised again, explicitly stating in Article 2 that "lawyers referred
to in this Law refer to practitioners who have obtained a lawyer's practice
certificate in accordance with the law, accepted commissions or appointments,
and provided legal services to clients". That is to say, it explicitly
regards lawyers as "practitioners who provide legal services to clients",
highlighting the attribute of lawyers serving the interests of clients. At the
same time, in the same clause, it is particularly emphasized that "lawyers
should safeguard the legitimate rights and interests of their clients, ensure
the correct implementation of the law, and uphold social fairness and
justice", clearly placing "safeguarding the legitimate rights and
interests of their clients" before "safeguarding the correct
implementation of the law, and upholding social fairness and justice".
Therefore, the development process of China's legal industry is a gradual
transformation of the role of lawyers from "national legal workers"
to "legal practitioners", and it is also a process in which the
"loyalty obligation" to serve clients is gradually established and
given priority over "public welfare obligations".
Article 3 of the "Norms for Lawyers to
Handle Criminal Cases" issued by the All China Lawyers Association in 2000
stipulates that "lawyers must abide by national laws and regulations,
adhere to the principle of facts as the basis and law as the criterion, and
abide by the professional ethics and practice discipline of lawyers when
undertaking criminal litigation business; Article 5 stipulates: "Lawyers
act as defenders or provide legal assistance to suspect, independently conduct
litigation activities according to law, and are not limited by the will of the
client". During this period, more emphasis was placed on the public
welfare obligations of criminal defense lawyers, requiring them, like judicial
personnel, to be based on facts, guided by the law, and conduct independent
defense in accordance with the law, without being restricted by the will of
their clients. In 2017, the "Norms for Lawyers to Handle Criminal
Cases" were revised, removing the principle of "must adhere to facts
as the basis and law as the criterion" from relevant provisions, and no
longer requiring lawyers as required for judicial personnel, indicating that
criminal defense lawyers should bear responsibilities different from those of
judicial personnel in criminal proceedings. At the same time, Article 5 has
also been changed to "In defense activities, lawyers should respect the
opinions of the parties on the basis of law and facts, carry out their work in
accordance with the principle of benefiting the parties, and shall not put
forward defense opinions that are unfavorable to the parties against their
wishes". We no longer emphasize the independent defense of lawyers, but
emphasize that lawyers should respect the opinions of their clients, not go
against their wishes, and conduct defense work in accordance with the principle
of benefiting their clients. This reflects the emphasis on the "loyalty
obligation" of lawyers to serve their clients.
4.2 Potential conflict between lawyer's loyalty
obligation and public welfare obligation
The development of China's criminal defense
industry is also a process of gradually establishing the loyalty obligation of
lawyers, who adopt various means to defend their clients' interests. But when
this loyalty obligation develops to a certain extent, it becomes a
"passionate defense", which means "wholeheartedly investing in
the interests of the principal, passionately safeguarding and protecting the
principal's rights and exerting their maximum possible abilities", and
even "taking any means and expedient measures to protect his principal,
without considering the danger and cost of others". In order to prevent
lawyers from neglecting the public interest due to excessive enthusiasm for
defense, countries have set certain boundaries for the loyalty obligation of
lawyers. This boundary is the public interest obligation of lawyers, which is
the obligation that lawyers should undertake to safeguard the public interest
of society. The scope of this public welfare obligation is relatively broad,
including both the litigation obligations that lawyers should undertake in
judicial activities and the social public welfare obligations that lawyers
should undertake in judicial activities.
Article 3 of the revised Lawyer Law of China in
2017 stipulates that "Lawyers must abide by the Constitution and laws,
adhere to professional ethics and professional discipline. Lawyers must base
their practice on facts and take the law as the criterion. Lawyers should
accept supervision from the state, society, and parties. Lawyers practicing in
accordance with the law are protected by the law, and no organization or
individual may infringe upon the legitimate rights and interests of
lawyers." Article 40 prohibits lawyers from engaging in any behavior.
Correspondingly, Articles 36 to 40 of the 2016 revised "Regulations on the
Administration of Lawyer Practice" have provided further detailed
provisions on the aforementioned prohibitive provisions. These regulations to
some extent set the behavioral boundaries for lawyers' loyalty obligations.
However, in judicial practice, conflicts often arise between lawyers' loyalty
obligations and their public welfare obligations.
Case 1: The "Lv San Case" in Anhui.
Lv Mousan is a lawyer who provides legal services to a local company, which is
accused of fraud involving routine loans. Lv Mousan is also accused of being an
accomplice in the fraud case. Lv's close relatives hired a lawyer from Beijing,
who intervened and found that there may be problems in this case, especially
the issue of illegal evidence collection. The lawyer copied the synchronized
audio and video recordings and applied to the court to initiate the illegal
evidence exclusion procedure. After the court refused, the lawyer posted the
synchronized audio and video recordings online to attract media attention.
Later, the People's Court filed a complaint with the Judicial Bureau of
Chaoyang District, Beijing. The Judicial Bureau of Chaoyang District imposed an
administrative penalty of one year's suspension of business on the lawyer for
violating Article 38, Item 4 of the "Measures for the Administration of
Lawyer Practice", which stated that the lawyer had violated regulations by
disclosing or disseminating information and materials related to non-public
trial cases, or important information and evidence materials obtained by the
lawyer or other lawyers during the case handling process.
In response to the shortcomings of the
investigating authorities, relevant laws have established various procedural
defense plans, such as the application for exclusion of illegal evidence. Due
to the establishment of the procedural priority principle for the exclusion of
illegal evidence in our country, the resolution of the issue of illegal
evidence exclusion should take priority over substantive examination. Once the
defense applies for the exclusion of illegal evidence and exhausts all
remedies, it will cause corresponding delays in the work of the trial and
prosecution. If a similar situation occurs as in the case of Lv Mousan, the
people's court may be in an awkward position of being criticized.
Case 2: The "Mo case" in Hangzhou. In
this case, during the first instance, the defendant initially hired a lawyer
from Guangdong, who made various applications before the court hearing, such as
raising objections to jurisdiction and suggesting that the case should be tried
in another location; A request has been made for witnesses to appear in court,
requesting that the firefighters involved in the rescue on the same day try
their best to testify in court. The appointed lawyer from the other region also
wrote a letter to the Supreme People's Court, applying for the Supreme People's
Court to designate jurisdiction. However, the case was eventually heard as
scheduled. Less than half an hour into the trial, the lawyer raised objections
to the jurisdiction of the Hangzhou Intermediate People's Court and requested
the termination of the trial. However, after being refused, the lawyer
immediately left the court in protest, causing the entire trial to be
interrupted. The interruption of the trial has attracted the attention of the
national media, and the lawyer's behavior has also caused great controversy.
Afterwards, the lawyer was also punished by suspending his practice for six
months.
The investigating authorities actively provide
legal aid lawyers for the accused in such cases, and one of their core
interests is to hope that lawyers can take on more public welfare obligations
and engage in defense activities within the framework of existing laws and
professional norms, so as to successfully complete such influential cases.
Whether influential cases can be handled smoothly will affect: (1) the
efficiency of handling cases. The prolonged delay in resolving cases will seriously
affect the efficiency of judges in handling cases, resulting in their inability
to successfully complete the task of trial. Especially in recent years, with
the advancement of judicial reform, the overall number of judges has decreased,
while the actual number of cases handled has continued to increase. The number
of cases handled by a single judge has correspondingly increased, and the
demand for judges to quickly close cases has become increasingly strong. (2)
Assessment of case handling ability. Whether a judge can effectively manage the
trial and ensure its smooth progress is an important evaluation of their
ability. Therefore, judges generally hope that the trial can proceed smoothly,
as any complications or intense conflicts may affect the smooth progress of the
trial. (3) The public's evaluation of the investigating authorities. Due to the
widespread attention of public opinion on such influential cases, the actions
of the investigating authorities during the trial may receive widespread attention
from all sectors of society, which in turn may lead to pressure from the
investigating authorities on the handling process of such cases. This pressure
may also be indirectly transmitted to specific personnel handling the case.
The author believes that compared to lawyers
from other regions commissioned by close relatives, local legal aid lawyers may
be more in line with the expectations of the investigating authorities and are
more likely to defend within the boundaries set by laws and professional norms.
Firstly, the legal aid lawyers in these cases are mostly local lawyers. The
reason for emphasizing local lawyers is that there is a "long-term
game" relationship between local lawyers and local law enforcement
agencies. Local legal aid lawyers are usually more cooperative with law
enforcement agencies and generally do not intervene in the case handling
process in a confrontational manner. Secondly, from the perspective of the
incentive mechanism for handling cases, local legal aid lawyers are appointed to
represent clients and do not have sufficient economic and other incentives to
actively defend cases, while lawyers appointed from other regions are more
motivated to pursue the outcome of these influential cases through active
defense. In the aforementioned four cases, the lawyers appointed on behalf of
the clients are almost all non local lawyers who have a certain level of
influence nationwide and are more skilled or inclined to use out of court
publicity to promote the progress of the cases. For example, during the second
instance of the "Xu case" in Jiangsu, a lawyer from another city
hired by a close relative had handled the "Zhang case". The lawyers
hired by the family of Lao and Mo were both Beijing lawyers who had handled multiple
influential cases. Compared to local legal aid lawyers, these foreign lawyers
entrusted by close relatives are more likely to intervene in cases with a
confrontational and intense defense style, which may be exactly what the
investigating authorities do not want to see. These influential cases have
received widespread social attention, and the investigating authorities are
concerned that the involvement of lawyers from other regions may lead to
changes in the trial. Therefore, the investigating authorities may be more willing
to avoid involving lawyers from other regions by assigning legal aid lawyers.
Therefore, the current conflict between legal aid defense and commissioned
defense is actually a conflict between two expectations: one is the expectation
of the investigating authorities for lawyers to prioritize their public welfare
obligations, defend within the framework of legal and professional norms, and
even cooperate with the work of the investigating authorities; Another
expectation is that the defendant and their family members have a duty of
loyalty to the lawyer, expecting them to actively defend themselves in various
ways.
4.3 The governance path of the conflict between
loyalty obligation and public welfare obligation
In order to prevent lawyers from using excessive
means to defend, countries currently mainly adopt two governance paths:
"blocking" and "sparse".
The first path is "blocking", mainly
through the professional code of conduct of lawyers to stipulate that lawyers
cannot engage in excessive defense behavior. The code of conduct for lawyers
emphasizes the obligation to respect court trials, and Article 3.5 of the
American Bar Association's Model Rules of Professional Conduct (2004)
specifically emphasizes the responsibilities that lawyers must undertake for
the court. Article 3.5 consists of four paragraphs, among which the fourth
paragraph stipulates that lawyers shall not engage in behavior that disturbs
the court. The corresponding annotation states that if the judge makes a
mistake during the trial, the lawyer can firmly resist the judge's abuse of
power, but cannot retaliate against each other. The judge's mistake cannot be
used as a reason for the defendant to engage in dereliction of duty. But
lawyers can provide reasons, and then save these reasons through the records of
the trial, and obtain relief through appeal. The Code of Conduct of the
Canadian Bar Association also emphasizes that lawyers must encourage the public
to respect the judiciary. In terms of respecting the judiciary, the responsibility
of lawyers should be higher than that of a citizen, because lawyers themselves
are knowledgeable about the law. If lawyers say that the judiciary is corrupt
and trials are unfair, the impact on the public will be enormous. Therefore, it
is particularly emphasized that lawyers should be particularly cautious when
accusing the judiciary or undermining public confidence in the judiciary. The
professional conduct guidelines or norms for lawyers in England, Scotland, and
other places also emphasize that lawyers should respect the court. In addition
to regulating the professional behavior of lawyers themselves through the norms
of lawyer practice, some countries with developed rule of law outside the
region also stipulate the crime of contempt of court. If a lawyer accuses a
judge, strikes the court, or fails to appear on time in court, it may be
defined as contempt of court behavior and may be punished or even convicted.
At present, China mainly adopts the method of
"strict regulation" to address the conflict between loyalty
obligations and public welfare obligations, mainly through two aspects to
punish and regulate the professional behavior of lawyers. The first aspect is
that the Judicial Interpretation of the Criminal Procedure Law specifically
stipulates court discipline. Article 308 of the Interpretation states: "If
a lawyer serving as a defense counsel or litigation representative seriously
disrupts court order, is forcibly taken out of the courtroom, or is fined or
detained, the people's court shall notify the judicial administrative organ and
may recommend corresponding punishments in accordance with the law." The
second aspect prohibits relevant behaviors through administrative regulations
and professional behavior norms and imposes administrative penalties. The
relevant regulations are mainly reflected in Articles 36 to 40 of the Measures
for the Administration of Lawyer Practice.
There are two shortcomings in the path setting
of "strict regulation" in our country: firstly, this simple
punishment method cannot achieve good social effects. In some cases, lawyers
are punished on one hand, but welcomed by their clients on the other hand. At
this point, there is a sharp contrast between the punishment of lawyers by
judicial administrative organs and the evaluation of parties, which can greatly
reduce the deterrent effect of lawyer punishment. The reason for such a
contrast is related to the existing problems in China's current judicial
environment and the insufficient relief provided to the defense. Secondly, the
disciplinary measures against lawyers have a lag effect, and the people's
courts do not have particularly effective disciplinary measures against
lawyers. At present, the Judicial Interpretation of the Criminal Procedure Law
mainly stipulates punitive measures such as ordering withdrawal, fines, and
detention, but the implementation effect is not good, lacks sufficient
rigidity, and is also prone to triggering a new round of public opinion. For
some overly enthusiastic defense behaviors of lawyers, measures such as
reporting to judicial authorities and suggesting corresponding punishments can
only be taken, but such punishments often have a lag. From the perspective of
implementation effectiveness, this punishment may have a deterrent effect on some
lawyers, but it cannot fundamentally solve the problem of lawyers' excessive
enthusiasm for defense, or even if some punitive measures are stipulated, many
lawyers will still defend themselves in more extreme ways.
The second path is "evacuation", which
mainly manifests as providing relief measures to the parties involved for some
improper handling behaviors. Firstly, sufficient protection should be provided
for the exercise of the rights of the defendant and the lawyer. Infringement of
the defendant's right to defense can be a reason for appeal, and relief can be
obtained through the appeal process. Overall, the general approach taken by
countries outside the jurisdiction to address this issue is that if a judge
abuses their power or infringes upon the defendant's right to defense, they can
seek relief through judicial channels. If a channel for relief is provided to
the defendant and the lawyer, conflicts can be resolved through judicial
channels. If there is no channel to provide relief, lawyers may have to resort
to the internet and media, which can easily lead to conflicts.
At present, in China, the excessive enthusiasm
of lawyers for defense is mostly dealt with through strict regulation, and
there is a lack of sufficient protection for the rights of lawyers and
defendants to defend, which cannot fundamentally resolve this internal
conflict. The fundamental reason why lawyers adopt some extreme methods in the
process of handling some cases may be that their legitimate legal demands have
not been properly responded to. In the future, only by further increasing and
activating the internal relief channels of criminal proceedings can lawyers
avoid resorting to the media or taking overly aggressive measures as much as
possible. In addition, there should also be corresponding norms for judicial
personnel, regulating the professional behavior of judges and prosecutors
through professional behavior norms. Taking the United States as an example,
some states will issue corresponding codes of conduct for judges' judicial
actions. Recently, the United States has also put forward requirements for
judges' professional and non professional behavior through formal codes of
conduct. Although judges in developed countries with extraterritorial rule of
law have the "weapon" of contempt of court, they are also cautious
when determining contempt of law. If a judge abuses contempt of court or
suppresses lawyers, they will also be punished. In December 1991, during the
trial of a minor custody case in Michigan, Judge Michael Hawke was rude and
harsh towards lawyer Elaine Sharp. The two had an argument in court, and Judge
Hawke found Sharp guilty of contempt of court. Sharp then complained about
Judge Hawke's misconduct. The Michigan Supreme Court ruled in 1995 that Judge
Hawke was disrespectful, using provocative language to provoke lawyers, and
using contempt of court to oppress people, which was clearly inappropriate and
hindered judicial fairness. He was sentenced to three days of unpaid
suspension. So, although there are strict rules and regulations for lawyers and
constraints on the crime of contempt of court, at the same time, corresponding
regulations should be imposed on the words and deeds of judges, especially
their improper abuse of power. In many influential cases in our country, there
are still some issues with the legality and legitimacy of the professional
behavior of the investigators themselves, which need to be further regulated.
So the logic of reform should be that lawyers should abide by all their
corresponding norms and respect the court, but at the same time, the behavior
of judges should also be regulated by their own professional code of conduct.
Conclusion
The "pit occupying defense" behavior
in influential cases should be criticized, because this behavior not only
infringes the right of suspect and defendants to choose lawyers independently,
but also may cause the legitimacy of the legal profession, legal aid cause and
even the entire legal cause to be questioned. This phenomenon is worthy of
reflection and criticism, but the current academic discussions only focus on
its violation of the principle of prioritizing entrusted defense. This cannot
directly solve the relevant problems, nor can it effectively respond to the
corresponding issues fundamentally. The conflict between designated defense and
commissioned defense lies in the different expectations of the law enforcement
agency and the defendant regarding the professional role of lawyers. It is a
conflict between the lawyer's loyalty obligation and the public interest
obligation. To this end, it is necessary to further coordinate the conflicting
relationships between the roles of lawyers, clarify the boundaries of lawyers'
public welfare obligations, and regulate the professional behavior of case
handlers.
In addition, greater procedural space should be
given to influential cases. The Criminal Procedure Law and related judicial
interpretations currently have some special provisions for cases with evidence
disputes, such as detailed provisions on whether to convene a pre-trial
conference, whether to allow witnesses to appear in court, whether to initiate
the legality review process of evidence, whether to conduct a single cross
examination, and whether to hold a trial in the second instance. Since the Criminal
Procedure Law and related judicial interpretations already have such a basic
idea, it may be better to give more procedural space to influential cases in
the future. Since there is a significant social impact, it is advisable to
provide sufficient protection for procedural rights, which is also a good legal
course for the entire society. Promoting public belief in the rule of law
should be the responsibility of all legal professionals. Only by fulfilling
their respective duties and adhering to their professional boundaries and
ethics can the rule of law be truly realized.