Opinion ID: 1152610
Heading Depth: 1
Heading Rank: 3

Heading: Defendant Interview as Ethical Violation

Text: Suarez raises two allegations of error during the guilt phase of his trial. The first allegation is based on the trial court's refusal to suppress two statements made by Suarez to an assistant state attorney. While in jail awaiting trial, Suarez on at least two occasions expressly requested to speak to state attorneys regarding his case. Suarez apparently was seeking to give exculpatory explanations for the incidents surrounding the murder. On the first occasion, Suarez was represented by a public defender, and the state attorney's office was on notice of this fact. Upon receiving the request to speak with him, an assistant state attorney, after discussing the ethical considerations involved with a superior, conducted an interview with Suarez at which another assistant state attorney provided translation for both parties. The second interview, again at Suarez's request, occurred within hours after a hearing at which defense counsel complained of the first interview. However, defense counsel at that hearing was also allowed to withdraw from the case because of conflict arising from representation of co-defendants. The record shows that the court had tentatively settled on replacement defense counsel, but no counsel had been formally appointed at the time of the second interview. The interviews were used at trial to impeach Suarez during cross-examination. The transcripts of the two questioned interviews unmistakably show Suarez was carefully advised of his Miranda rights and his right specifically to have an attorney present during the interviews. Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966). The record shows clear waiver by Suarez of these rights. There is absolutely no question that no constitutional error vis-a-vis Miranda required suppression of these interviews. While no Miranda considerations required suppression of the statements, Suarez argues that violation of Florida Bar Code of Professional Responsibility, Disciplinary Rule (DR) 7-104(A)(1), requires suppression of the statements. The rule reads: (A) During the course of his representation of a client, a lawyer shall not: (1) Communicate or cause another to communicate on the subject of the representation with a party he knows to be represented by a lawyer in that matter unless he has the prior consent of the lawyer representing such other party or is authorized by law to do so. We find that the rule most definitely was violated, but that suppression is not the appropriate means by which the rule should be enforced. Initially, we note that the state concedes that the assistant state attorney is bound by the Code of Professional Responsibility, and subject to discipline for violation thereof. In concluding that violation of the rule occurred, we must reach two questions. First, we must determine whether the rule applies in a criminal context. We agree with the Fourth District Court of Appeal in State v. Yatman, 320 So.2d 401 (Fla. 4th DCA 1975), that the rule does apply in criminal cases. The reason that this is an issue at all is because the rule seems to speak in terms of civil matters, i.e. during the course of his representation of a client ... . However, in the context of a criminal case, the prosecuting attorney may be viewed as having as a client the state. Other jurisdictions have had no problem applying this rule in the criminal context. See, e.g., People v. Green, 405 Mich. 273, 274 N.W.2d 448 (1979). See also ABA Comm. on Ethics and Professional Responsibility, Informal Op. 1373 (1976) (applying DR 7-104(A)(1) in a criminal trial context). We next address the question whether it is a violation of the rule for a prosecuting attorney to interview a defendant represented by counsel without notice to defense counsel when the defendant requests or acquiesces to the interview. Again we have no problem in finding that a violation does occur under these circumstances. United States v. Thomas, 474 F.2d 110 (10th Cir.), cert. denied, 412 U.S. 932, 93 S.Ct. 2758, 37 L.Ed.2d 160 (1973) (DR 7-104 violated when prosecution uses statement, at trial, taken by FBI agent during interview requested by defendant); United States v. Four Star, 428 F.2d 1406 (9th Cir.), cert. denied, 400 U.S. 947, 91 S.Ct. 255, 27 L.Ed.2d 253 (1970) (We emphatically reiterate, however, that in-custody interrogation of an accused person known to be represented by counsel without affording the counsel an opportunity to be present is undesirable and that a prosecuting attorney who knowingly participates in such an interrogation or takes advantage of its results violates professional ethics. 428 F.2d at 1407 (citation deleted)); State v. Yatman ; People v. Green . Finally, we conclude that violation of the disciplinary rule alone does not require suppression of statements resulting from such violation. We agree with the reasoning of the Michigan Supreme Court in People v. Green : [The principal question is] whether the voluntary statements made by the defendant after knowingly and understandingly waiving his Miranda rights, must nonetheless be suppressed solely because the assistant prosecuting attorney violated DR 7-104(A)(1). ... . The defendant has argued that the violation of DR 7-104(A)(1) was a violation of his rights and that unless his statements are suppressed, he will have no effective remedy to redress the wrong done to him. This argument rests upon a basic misconception of the Code of Professional Responsibility. The provisions of the code are not constitutional or statutory rights guaranteed to individual persons. They are instead self-imposed internal regulations prescribing the standards of conduct for members of the bar. Although it is true that the principal purpose of many provisions is the protection of the public, the remedy for a violation has traditionally been internal bar disciplinary action against the offending attorney. The sanctions available are by no means trivial. The attorney faces permanent disbarment. In these respects the provisions of the code are no different from the provisions found in the codes of conduct for other professions, such as medicine or architecture. They are all self-governing in-house regulations. The admissibility of evidence in a court of law, on the other hand, is normally determined by reference to relevant constitutional and statutory provisions, applicable court rules and pertinent common-law doctrines. Codes of professional conduct play no part in such decisions. ... . The facts in the case at bar provide a good example why a violation of Dr. [sic] 7-104(A)(1) standing alone should be dealt with by bar disciplinary action rather than by withholding relevant and material evidence from the jury. The defendant had a story he wanted to tell to the authorities, presumably to clear himself of the murder charges lodged against him. He sent word to the authorities and asked to speak with them. He waived his Miranda rights with full knowledge of what he was doing. He specifically stated that he wanted to talk without his attorney being present. The assistant prosecuting attorney and the detective did little except listen to what the defendant had to say and take notes. The defendant's statements were completely voluntary and there was no overreaching of any kind. When asked if he were telling the whole truth, defendant said that he was. Reversal of the conviction and grant of a new trial (if in fact the witnesses and evidence presented in 1975 could be obtained for a second trial) solely because of this less than consequential violation of DR 7-104(A)(1) would constitute reprehensible overkill. In cases such as this, bar disciplinary action directed against the offending attorney would be a more appropriate response and would serve as a more effective deterrent than the indirect sanction of the exclusionary rule. Although the presence of a prosecuting attorney is still one factor to be considered in assessing the totality of the circumstances in order to determine whether a defendant's statements are constitutionally admissible, we find no unconstitutional intrusion in this factual situation. 405 Mich. at 293-95, 274 N.W.2d at 454-55 (footnote deleted). The court in State v. Yatman likewise found no necessity to suppress a statement solely on the ground of violation of DR 7-104(A)(1). This is also the near universal result reached by other courts. See, e.g., Moore v. Wolff, 495 F.2d 35 (8th Cir.1974); United States v. Thomas , (the court sought to prohibit use of such statements prospectively and reserved deciding the question of what action to take should information arising from such interviews be used in ways other than its introduction at trial); United States v. Four Star. But see People v. Hobson, 39 N.Y.2d 479, 384 N.Y.S.2d 419, 348 N.E.2d 894 (1976) (finding constitutional prohibition against use of statements taken without notice to defense counsel, buttressing suppression and reversal with discussion of DR 7-104(A)(1) violation). The federal courts have also refused to reverse for failure to suppress statements taken by police while the defendant was represented by counsel, although the ethical violation of the prosecuting attorney in using such statements was not discussed. See, e.g., United States v. Vasquez, 476 F.2d 730 (5th Cir.), cert. denied, 414 U.S. 836, 94 S.Ct. 181, 38 L.Ed.2d 72 (1973); Wilson v. United States, 398 F.2d 331 (5th Cir.1968), cert. denied, 393 U.S. 1069, 89 S.Ct. 727, 21 L.Ed.2d 712 (1969); Coughlan v. United States, 391 F.2d 371 (9th Cir.), cert. denied, 393 U.S. 870, 89 S.Ct. 159, 21 L.Ed.2d 139 (1968); Mathies v. United States, 374 F.2d 312 (D.C. Cir.1967). See generally Annot., 26 A.L.R. 4th 102, §§ 10, 11 (1983). In the absence of constitutional grounds for suppression, the only possible basis for suppression would be to discourage violation of DR 7-104(A)(1). Suppression of the statements would therefore be in the same posture as exclusion of evidence under the exclusionary rule. The exclusionary rule exists to deter  to compel respect for the constitutional guarantee [against illegal search and seizure] in the only effectively available way  by removing the incentive to disregard it. Elkins v. United States, 364 U.S. 206, 217, 80 S.Ct. 1437, 1444, 4 L.Ed.2d 1669 (1960). The exclusionary rule thus exists because it is the only effective way to deter violations of a constitutional right. However, we have another effective way to deter violation of an ethical rule. Bar discipline can be initiated by The Florida Bar, and also may be initiated by a circuit court or a district court judge pursuant to Florida Bar Integration Rule, article XI, Rule 11.14. The goal of deterrence is therefore achieved without the overkill of suppression and reversal.