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by
SHAJEDA AKTHER*
DR. ROHAIDA BINTI NORDIN**
Abstract
Among many other fair trial guarantees that have been enshrined in
international and regional human rights instruments (Article 14 of the
ICCPR, Art 6 of ECHR, Art 8(2) of ACHR) the most significant guarantee
is the principle of equality of arms. This principle underpins the equal
opportunities of the parties in criminal proceedings. It ensures the
procedural equality of the parties to present their case during the course of
trial. In criminal proceedings everyone charged with an offence must have
an equal opportunity to defend himself with that of the prosecution. Th is
principle includes certain specific rights and standards which ensure the
equal opportunities of the parties. The scope of this paper is to discuss the
principle within the ambit of fair trial guarantees that are set out in Article
14 of the ICCPR for equal protection of the parties.
I. Introduction
“The right to equality before courts and tribunals also ensures equality of
arms. This means that the same procedural rights are to be provided to all
the parties unless distinctions are based on law and can be justified on
objective and reasonable grounds, not entailing actual disadvantage or other
unfairness to the defendant” (Paragraph 13).
The principle means that everyone who is a party to proceedings must have
a reasonable opportunity of presenting his case to the court under conditions
which do not place him at a substantial disadvantage vis-á-vis his opponent.
This principle ensures a fair balance between the parties (DE Haes and
Gijsels v. Belgium, 1997). This principle is violated when a trial judge
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Article 14 (3) (e) of the ICCPR also provides the guarantee to the accused
person to examine, or have examined, the witnesses against him and to
obtain the attendance and examination of witnesses on h is behalf under the
same conditions as witnesses against him. This provision also ensures the
equality of arms principle.
The most elaborate article regarding equality of arms in the ACHR is Article
8 which inter alia, states the minimum guarantees during criminal
proceedings are the rights of the accused to be notified in detail of the
charge against him (Article 8(2) (b) of ACHR), to defend himself personally
or by legal counsel (Article 8(2) (d) of ACHR), to be assisted by counsel
provided by the state if the accused does not defend himself personally or
engage his own counsel within the time established by law (Article 8(2) (e)
of ACHR), and to examine witnesses (Article 8(2) (f) of ACHR).
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criminal trial, the accused person’s life and liberty may be at stake and in
order to escape him from a perilous situation, he/she should be brought
before the court. Article 14(3) (d) of the ICCPR states that in determination
of any charges against him “everyone has the right to be tried in his
presence.” This right is related to the principle of ‘equality of arms’. The
HRC in this regard states that “the concept of a ‘fair trial’ within the
meaning of Article 14 … must be interpreted as requiring the fulfillment of
a number of conditions, such as equality of arms and respect for the
principle of adversary proceedings. These requirements are not respected
where … the accused is denied the opportunity personally to attend the
proceedings …” (Dieter Wolf v. Panama, 1988).
The right to access to a lawyer is one of the most important aspects of fair
trial guarantees that give an accused ample opportunity to challenge the
legality of his or her detention. Of fundamental importance, the principle of
equality of arms will be worthless if this right is not observed. Early access
to a lawyer is also important in order to draw up a sound defence strategy
(Fair Trial Manual, 2010, Chapter 2:1). It can be considered as the initial
step of enjoying the wider right of legal assistance. The international and
regional human rights instruments also recognise the advantages of
representation by counsel. In the interest of the administration of justice, the
accused must be represented by counsel. An unrepresented accused is
disadvantaged, not merely because he or she almost always has insufficient
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legal knowledge and skills, but also because an accused in such a position is
unable dispassionately to assess and present his or her case in the same
manner as the prosecutor and in this sense there is no equality of arms. As
Justice Michael Kirby of the Australian High Court put it:
‘...the notion that judges should preside over serious criminal trials where
accused persons, otherwise than by their choice, are not properly
represented by a trained lawyer, involves a concept of law as a charade and
mere formality: not as an enterprise of substantive justice’ (Kirby, 2004).
The right to access to a lawyer under Article14 (3) (d) of the ICCPR which
inter alia, guarantees the right of the accused “… to defend himself in
person or through legal assistance of his own choosing; to be informed, if he
does not have legal assistance of this right; and to have legal assistance
assigned to him, in any case where the interest of justice so require, and
without payment by him in any such case if he does not have sufficient
means to pay for it” (Article 6(3) (c) of ECHR). Article14 (3) (d) of the
ICCPR provides three distinct due process guarantees; first, the right to
defend in person; secondly, the right to opportunity to choose freely one’s
counsel if one does not wish to defend oneself; and thirdly, to be given free
legal assistance when one has not got sufficient means to pay for legal
assistance and the interest of justice so require. The purpose of this
guarantee is to ensure that no proceedings will take place against the
accused, unless there is an adequate representation on the part of the
defense.
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Article14 (3) (d) of the ICCPR provides three distinct due process
guarantees; (i) the right to defend in person; (ii) the right to opportunity to
choose freely one’s counsel if one does not wish to defend oneself; and (iii)
to be given free legal assistance when one has not got sufficient means to
pay for legal assistance and the interest of justice so require. The purpose of
this guarantee is to ensure that no proceedings will take place against the
accused without an adequate representation from the part of the defence.
Apart from this, Principle 1 of the Basic Principles on the Role of Lawyers
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(hereinafter as Basic Principles) states that “all persons are entitled to call
upon the assistance of a lawyer of their choice to protect and establish their
rights and to defend them in all stages of criminal proceedings.” Principle 5
of the Basic Principles and Principle 17 of the Body of Principles for the
Protection of All Persons under Any Form of Detention or Imprisonment
(hereinafter as Body of Principles) explicitly state that a person who is
arrested, detained or charged must be immediately informed of the right to
legal assistance.
The right to choose a lawyer by the accused is important for trust and
confidence between the accused and his lawyer. But this right is not
unrestricted, particularly if the State is paying the costs. However, in death
penalty cases, the HRC has viewed that the State should give preference to
appointing counsel chosen by the accused, including for the appeal (Pinto v.
Trinidad and Tobago, 1990). The European Commission also did not find
violation of the European Convention in cases where lawyers were excluded
for failure to comply with professional ethics and refusal to wear robes
(Ensslin, Baader and Raspe v. FRG, 1978).
In its General Comment No. 13, the HRC emphasized that “the accused or
his lawyer must have the right to act diligently and fearlessly in pursuing all
available defences and the right to challenge the conduct of the case if they
believe it to be unfair” (HRC General Comment No. 13). Article14 (3) (d)
requires that when an accused does not wish to defend himself in person, he
should be able to have legal assistance through a lawyer. The object of this
guarantee is to ensure that no proceedings will take place against an accused
without an adequate representation of his case based on the principle of
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equality of arms. The Human Rights Committee has expressed that Article
14(3) (d) has been found violated where the right of access to legal
assistance was not effectively available (Weismann Lanza and A. Lanza
Perdomo v. Uruguay, 1980). In terms of equality of arms, the right to
defend through a lawyer also serves ‘as a watchdog of procedural
regularity’, both in the public interest and for his client (Ensslin, Baader
and Raspe v. FRG, 1978).
The Committee has also found a violation of article 14(3) (d), where the
domestic law has not authorized the accused to defend himself in person,
which allows the accused to choose whether he or she wishes to defend him
or herself – be it through an interpreter – or to have the defence conducted
by a lawyer (M. and B. Hill v. Spain, 1997). Under this article ‘assistance’
by a legal counsel is guaranteed. So, to ensure effective assistance, mere
assigning of a counsel is not sufficient. Effective measures must be taken by
the counsel to provide effective representation in the interest of justice. In
this regard, the Committee further expressed its caution that it is essential
under Article 14(3) (d) that the domestic court “should ensure that the
conduct of a case by the lawyer is not incompatible with the interests of
justice”, and the Committee will itself examine whether there are any
indications to show that the lawyer “was not using his best judgment in the
interests of his client” (N. Lewis v. Jamaica, 1997).
The right to legal assistance will have no meaning if no steps are taken t o
provide effective legal representation to an accused person who is indigent,
underprivileged and has no means to pay. There is, of course, a difference
between the terms, “the right to legal assistance””the right to free legal
assistance”. In the latter case, legal assistance is assigned by State
authorities through the administrative process to an accused who cannot
afford legal representation by himself. Article 14 (3) (d) of the ICCPR
(Principle 6 of Basic Principles and Principle 17(2) of Body of Prin ciples)
provides a significant guarantee of right of the accused to legal aid. When
he does not defend in person and cannot engage one for himself, he ought to
be informed of his right to legal aid. The accused’s right to legal assistance
is violated when he does not know of his right and cannot exercise this right
(Supreme Court of Ireland, 1976).
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Similarly the HRC has viewed that Art 14(3) (d) was violated when the
accused's counsel withdrew from the case for non-payment of fees and the
court decided to proceed in the absence of counsel. In Reid v. Jamaica
(1990), the Committee found a violation of the same Article, where the
counsel was appointed for the accused by the State despite the indication by
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“The court should ensure that the conduct of a case by a lawyer is not
incompatible with the interests of justice. While it is not for the Committee
to question counsel’s professional judgment, the Committee consider s that
in a capital case, when counsel for the accused concedes that there is no
merit in the appeal, the Court should ascertain whether counsel has
consulted with the accused and informed him accordingly. If not, the Court
must ensure that the accused is so informed and given an opportunity to
engage other counsel” (M. Morrison v. Jamaica, 1998).
Mere assigning a counsel for free legal assistance does not ensure effective
representation by the counsel. Free legal assistance must be adequate and
effective. To ensure effective representation, measures such as consulting
with and informing the accused must be made if the counsel intends to
withdraw an appeal or to argue that the appeal has no merit (Kelly v.
Jamaica, HRC 1991).
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Under this Article, the accused and the prosecution stand on equal footing in
calling and examining witnesses. The right given under Article 14(3) (b) of
the ICCPR to adequate time and facilities to prepare a defence is linked to
Article 14(3) (e), where it is the duty of the prosecution to inform the
defence of the witnesses it intends to call so that the accused may have
sufficient time to prepare his defence. A violation was found by HRC in the
case of Peart and Peart v. Jamaica (1991), where a statement of witness for
the prosecution was not made available to the defense, obstructing in this
way its cross-examination of a witness.
The examining of witnesses by both the parties provides the court with an
opportunity to hear and challenge the evidence and to make a just decision.
By the phrase ‘to examine or have examined’, both adversarial and
inquisitorial systems of trial have been taken into account. According to the
text, the accused’s right to cross-examination of witnesses against him and
right to call and examine witnesses on his behalf is not absolute, but must be
[2014] 1 LNS(A) lii Legal Network Series 16
consistent with the equality of arms principle. In this regard the HRC has
noted that it does not provide for “an unlimited right to obtai n the
attendance of witnesses requested by the accused or his counsel” (D.
Gordon v. Jamaica, 1992).
The right to have adequate time and facilities starts from the moment when
a person is subject to a criminal charge and is given access to a lawyer. The
HRC in its General Comment 13, explained that the time adequate to
prepare a defence depends on the nature of the proceedings and the factual
circumstances of each case but the right to adequate facilities to prepare a
defence must include access to documents and other evidence which the
accused requires to prepare his case, as well as the opportunity to engage
and communicate with counsel (HRC General Comment 13).
The obligation under Article14 (3) (b) to have adequate time and facilities is
related with the fundamental principle of “equality of arms” in which both
the parties to the criminal proceedings must be treated equally and they
must have the equal opportunity to prepare and present their case. The
worse the situation and complexity of the crime, the higher the duty to
ensure the accused is in a position to prepare his defence to face the
prosecution. The HRC has noted that where the defence considers that it has
not had sufficient time and facilities to prepare itself, it is important to
request an adjournment of the proceedings (M. Steadman v. Jamaica, 1997).
The Committee has also emphasized that “in cases in which a capital
sentence may be pronounced, it is axiomatic that sufficient time must be
granted to the accused and his or her counsel to prepare the defence for the
trial”, and that “this requirement applies to all the stages of the judicial
proceedings” (C. Wright v. Jamaica, 1992).
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In the case of Marais, the Committee found violation of Article 14(3) (b),
where the accused was unable to communicate with his lawyer and to
prepare his defence, except for two days during the trial itself. Although the
lawyer had “obtained a permit from the Examining Magistrate to see his
client, he was repeatedly prevented from doing so”, his client being held
incommunicado (D. Marais, Jr. v. Madagascar, 1983).
IV. Conclusion
______________________________________________________________
Acknowledgement
Authors would like to thank Universiti Kebangsaan Malaysia for providing the Zamalah
Research University Fellowship Grant.
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