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"Decision
on the Prosecution's Motion for Review of the Decision of the Registrar
to Assign Mr. Rodney Dixon as Co-counsel to the Accused Kubura"
Procedural Background · In a Decision rendered on 26 November 20011, the Deputy Registrar assigned Mr. Rodney Dixon as co-counsel to Amir Kubura. Before joining private legal practice, Mr. Dixon worked with the Prosecution as a legal adviser from January 1996 to January 2000. · On 20 December 2001, the Office of the Prosecutor filed a confidential Motion for review of the Registrar's Decision in which it alleged that the assignment would cause both a conflict of interest and an undue advantage due to Mr. Dixon's previous association with the Prosecution during which period he was involved "in relevant investigations and relevant prosecutions of the so-called flip-side cases such as Blaskic, Kordic and Cerkez, and Celebici". · On 18 January 2002, lead Defence counsel for Amir Kubura filed a confidential response to the Prosecution's Motion (hereinafter the "Defence response"), inviting the Chamber to decline jurisdiction over the Motion in the absence of any express provision giving jurisdiction to the Chamber over the Decisions of the Registrar to assign Defence counsel to the accused. · On 4 February 2002, the Prosecution filed a confidential Reply (hereinafter the "Prosecution's reply") in which it argued that the Motion was admissible since it was filed pursuant to Rules 542 and 733 of the Rules as well as to the inherent powers of the Tribunal to "entertain Motions relevant to the control of its proceedings"4. · The Trial Chamber issued a confidential Scheduling Order on 31 January 2002 in which it invited the Registrar to file submissions on the issues raised by the Motion of 20 December 2001, the Defence response and the Prosecution's reply, including in particular the following issues: (1) whether, in the light of the law and practice of the Tribunal, a Chamber may review a Decision of the Registrar assigning Defence counsel to a concrete case; (2) whether, if the answer to question (1) was negative, there would be a genuine obstacle in terms of the general principles of the law for a Chamber to review such a Decision in the interests of justice and integrity of the proceedings before the Tribunal; and (3) whether, if the answer to question (2) was negative, the Chamber could also take into consideration a possible scenario in which more than one Defence counsel with previous association with the Tribunal appear in one and the same case. · On 8 February 2002, the Registrar filed a confidential Submission (hereinafter the "Registry submission") in which he claimed that "in the absence of any express provision to the contrary, such as Article 13 of the Directive of the Assignment of Defence Counsel5, Chambers do not possess a general power of review over Registry Decisions". The Registrar suggested that "if during the course of proceedings, it becomes evident that a conflict of interest exists and that this conflict would be likely to improperly prejudice the outcome of proceedings, then the Chamber may invite the Registrar to reconsider the assignment of Mr. Dixon in light of its findings, or the material presented before the Chamber". The Registrar added that the Chamber has the inherent power to regulate the proceedings and the conduct of the parties. He argued however that "this power should only be utilised in a manner that is consistent with and complementary to the powers of the Registrar" and that "an order to withdraw the assignment of counsel requested by an accused is contrary to the accused's right to free choice of counsel, which would not be an appropriate area for the Chamber to exercise its inherent powers". He stated that "in the event that the Prosecutor obtains previously unavailable material that would demonstrate the probability of a serious conflict, then the Registry would be prepared to reconsider its decision". The Decision The Trial Chamber dismissed the Motion. The Reasoning Admissibility of the Motion The Trial Chamber considered that the first issue which it had to examine was whether it could review the Decision of the Registrar assigning Defence counsel. The Trial Chamber regarded it as one of general importance6 and observed that "no explicit provision in the Rules [ ] or in the Directive [ ]" covers this issue. The Trial Chamber first noted that Rule 33(A) of the Rules7 is "explicit as to the authority of the President of the International Tribunal over the exercise of powers by the Registrar in the administration of the International Tribunal". It also referred to Rule 44(B)8 which "may be considered lex specialis to the lex generalis of Rule 33(A)" and Article 13(B) of the Directive. The Trial Chamber considered that both provisions "amply demonstrated that the President and Chambers may intervene in certain decisions of the Registrar". It specified that the "basis for presidential intervention in general lies in the provision of Rule 33(A) of the Rules"9. The Trial Chamber based its own possibility of action on "its power and duty to guarantee a fair trial and the proper administration of justice as set forth in the Statute"10. It referred to Rules 46(A)11 and 77(I)12 as having been included in the Rules "against this background". The Trial Chamber regarded both rules and Article 13 of the Directive as "not exhaustive" and mere applications of a more general power based on its duty to ensure fairness of trials and the proper administration of justice. The Trial Chamber then examined Rules 4413 and 4514 and noted that appointment, assignment and qualifications of Defence counsel may impact on the conduct of the case and have consequences on the fairness of trials and the proper administration of justice. The Trial Chamber therefore ruled that the issues were within its power of regulation and control. It held that "if the Rules explicitly provide for the power of a Chamber to take such far-reaching steps as to exclude counsel for all future cases from representing a suspect or accused, the Chamber certainly has the power to take less far-reaching steps aimed at ensuring a fair trial and the proper administration of justice in a concrete case pending before that Chamber". The Trial Chamber then considered Rules 54 and 73 pursuant to which the Prosecution had filed the Motion. The Trial Chamber noted the wide application of Rule 54 in the judicial practice of the Tribunal and concluded that it was "conceivable that an issue like the assignment or disqualification of counsel" could be "a matter falling within the scope of the rule because of its being part of the process of preparation or, later on, conduct of a trial". The Trial Chamber expressed the opinion that "the issue of whether a person is suitable to act as a counsel in a certain case is just one aspect of the fair trial obligation imposed on the Chamber" and concluded that "whether the accused receives a fair trial whereby justice is both done and seen to be done, is a matter over which the Chamber has jurisdiction". The Trial Chamber then considered that the scope of the application of Rule 73(A) was "wide enough to cover the issue before the Chamber so far as that issue influences the procedure in a concrete case". It added that "problems relating to the Defence of an accused will affect the conduct of a case over which a Chamber has not only the power, but also the duty to regulate in accordance with the statutory requirements for a fair and expeditious trial" as part of the "mandate of the International Tribunal to ensure that justice is seen to be done"14. In light of the above, the Trial Chamber ruled that it has jurisdiction over the assignment of Defence counsel by the Registrar as part of its mandate to ensure the integrity of proceedings. This includes the obligation to ensure that justice is both done and seen to be done and to ensure that the accused has a fair trial. In order to enforce this mandate, the Chamber can issue an order to withdraw the assignment of Defence counsel pursuant to Rules 54 and 73. It specified however that "the Registrar has the primary responsibility in [the assignment of counsel]" and is "entitled to reconsider his previous decision on the basis of new information hitherto unavailable to him". Lastly, the Trial Chamber added that its power to review Registrar's decisions not a power to overrule the responsibilities of the Registrar, but rather a power which is complementary to that of the Registrar and aimed at ensuring the proper administration of justice". The Trial Chamber examined the subsidiary issue of whether there was a time limit for filing a Motion for review of the Registrar's Decision to assign Defence counsel to an accused similar to the time limit of 15 days set out in Article 13 of the Directive for seeking the President's review of the Registrar's Decision to refuse the assignment of Defence counsel. The Trial Chamber observed that there were no such time limits for challenges raised under Rules 54 and 73 and specified that "qualification, appointment and assignment of counsel continuously affects the concept of fair trial so long as a counsel acts on behalf of a suspect or accused". Merits of the Motion The Trial Chamber examined whether Mr. Dixon's previous association with the Prosecution creates a conflict of interest or undue advantage with regard to his assignment as co-counsel to Amir Kubura. The Trial Chamber sought a definition of the notions of conflict of interest and undue advantage. It first examined the basic legal documents of the Tribunal and found that "the Rules and the Directive do not touch upon the specific question of a possible conflict of interest in the case of a defence counsel who has previously worked with the Office of the Prosecutor". The Trial Chamber then examined the Standards of Professional Conduct for Prosecution Counsel16 and Article 9 of the Code of Professional Conduct for Defence Counsel Appearing before the International Tribunal17 and noted that there was "no relevant provision in the basic law and regulations of the Tribunal dealing with the dispute before it". Lacking rules dealing with the matter or even providing guidance, the Trial Chamber sought guiding principles in national laws and practices. It found roughly two different kinds of national practices, i.e. certain national laws would require governmental consent for a lawyer to represent a client, whenever a possible conflict of interest might arise18; other laws, the Chamber observed, provide that "the approach has been taken that for a certain period of time former prosecutors or judges may not, in principle, become defence lawyers in the same district or court"19. The Trial Chamber noted that other practices could be found, for example, the Code of Conduct for the Bar of England and Wales "where it is well known that a counsel may serve in these two functions in different cases", which does not restrict "the possibility that a lawyer can work as a prosecuting or defence counsel" in. In view of the diversity of national practices, the Trial Chamber concluded that it could "derive no guidance" from them and therefore had to define a relevant test to be applied in order to determine whether "in the case at hand, the assignment of co-counsel to the accused is consonant with the interest of justice". The Trial Chamber considered that in devising the test, it had to respect "its obligation under the Statute and the Rules to ensure the integrity of the proceedings as the guiding principle". The Trial Chamber first observed that "the Registry submission notes the lack of proof to justify a finding that the prior association of Mr. Dixon with the Prosecution would be likely to prejudice the outcome of the trial improperly". The Trial Chamber noted that the Registry submission was "given in terms of potential prejudice"20, distinguishing the probability of conflict of interest from the simple possibility of such conflict. According to the Registry submission summed up by the Trial Chamber, "the possibility that a defence counsel had access to confidential information during his prior association with the Prosecution is not accepted as a criterion for disqualifying him as a counsel, whereas the probability of such access is"21. The Trial Chamber did not accept this distinction and stated that "in judicial proceedings a misstep in procedure with possibly adverse consequences will affect the integrity of the proceedings just as one will with probably adverse consequences". The Chamber reiterated that "the appearance of a just procedure is as important as the just result for a fair trial". The Trial Chamber added that "the probability test would be too high a standard as the harm from an erroneous assignment may be too great to redress for the integrity and expediency of the proceedings and the interests of witnesses and victims". It concluded that it could not "wait until foreseeable harm is done to the proceedings" and should "prevent such foreseeable harm". The Chamber underscored that it did not mean "that any challenge to the integrity of the proceedings, however artificial or theoretical, should form the basis of a reaction from the Chamber". It specified that "only when the challenge is real, some reaction is required". The Trial Chamber concluded that the appropriate test to decide if Mr. Dixon should be disqualified from representing the accused because of his prior association with the Office of the Prosecutor lies in determining "whether there was a real possibility of conflict of interest". It called it the "real possibility test". The Trial Chamber held that "[i]nvolvement of counsel with one of the parties in the same case is incompatible with representing the opposite party". In this situation, the conflict of interest is automatic. This was not the case with Mr. Dixon. As a staff member in the Office of the Prosecutor, he worked on a number of cases related to that of Amir Kubura. However, Mr. Dixon had never worked on this specific case directly. The Chamber considered that "working in part on the same factual basis alone does not create a conflict of interests". The Trial Chamber ruled here that conflict of interest was not automatic and that the parties must show that a real possibility of conflict of interest might arise in concreto. According to its ruling, the Trial Chamber examined the evidence presented by the Office of the Prosecutor. It concluded that "the prior association with the Prosecution has provided Mr. Dixon with certain advantages" but considered that the Prosecution failed to establish that the overall advantage was "such that it would amount to undue advantages that might have an impact on the fairness of this trial". The Trial Chamber also took in account Mr. Dixon's written undertaking not to violate the confidentiality of any information to which he had access while working for the Prosecution. The Trial Chamber concluded that "the Prosecution has not been able to demonstrate that the prior association of Mr. Dixon with the Prosecution and the work he was required to do at that time provide a sufficient basis to conclude that a real possibility of a conflict of interest exists". It therefore rejected the Motion of the Prosecution. The Trial
Chamber stressed that it devised the "real possibility test"
as a default solution to the issue pending before it. It observed that
"it might have been useful if certain general guidelines or rules
had been established in the past that would have provided guidance as
to how to avoid having former Prosecution office employees resign and
start working as a defence counsel before this Tribunal". The Trial
Chamber regretted that "no steps have ever been taken by the Office
of the Prosecutor to put such norms in place". It concluded that
"failing such norms, it is not for the Chamber to "legislate
and develop them". _____________________________
(E) Applications for leave to appeal shall be filed within seven days of the filing of the impugned decision. Where such decision is rendered orally, this time-limit shall run from the date of the oral decision, unless
4. Regarding
the notion of inherent powers of the Tribunal, see The Prosecutor v.
Zejnil Delalic et al. ("Celebici camp"), Case No. IT-96-21,
President Antonio Cassesse, Decision of the President on the Prosecutor's
Motion for the Production of Notes Exchanged between Zejnil Delalic and
Zdavko Mucic, 11 November 1996, in which the President stated, obiter
dictum, that contempt of the Tribunal was the prerogative of the Chambers
since it derived from the inherent power of the Court to control its own
proceedings; The Prosecutor v. Dusko Tadic ("Prijedor"),
Case No. IT-94-1-A-R77, Appeals Chamber, Judgement on Allegations of Contempt
against Prior Counsel, Milan Vujin, 31 January 2000 (summarised in Judicial
Supplement No. 11).
6. Rule 73(D)
of the Rules of Procedure and Evidence provides that Motions filed under
Article 73(A) are without interlocutory appeal, save for the exception
of those dealing with procedure and evidence and certified by the Trial
Chamber to be appropriate for the continuation of the trial, in accordance
to Rule 73(C). Rule 73(D)(ii) introduces another exception for Motions
that do not concern evidence and procedure, and that a bench of three
Judges of the Appeals Chamber consider to be "of general importance
to proceedings before the Tribunal or in international law generally".
In this case, it means that the Prosecution could file an interlocutory
appeal against the Decision of the Trial Chamber which has rejected its
Motion.
(4) Counsel must not accept compensation for representing a Client from a source other than that Client or, if assigned by the Tribunal, from a source other than the Tribunal, unless:
(5) Where a conflict of interest does arise, Counsel must-
18. The Trial
Chamber used Article 1.11(a) of the American Bar Association's Model Rules
of Professional Conduct (2001 edition) as an example, taking into account
that these mjudge odel rules were followed in two-thirds of the jurisdictions
in the United States of America. |