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Dawn raids and Legal Privilege. Kristina Nordlander Sidley Austin LLP, Brussels. Privilege in EC investigations. Background 1982 AM&S ECJ judgment September 2007 CFI judgment in Akzo (under appeal to ECJ) Note different rules in Member States. Akzo: CFI on in-house lawyers.

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dawn raids and legal privilege

Dawn raids and Legal Privilege

Kristina Nordlander

Sidley Austin LLP, Brussels

privilege in ec investigations
Privilege in EC investigations

Background

  • 1982 AM&S ECJ judgment
  • September 2007 CFI judgment in Akzo (under appeal to ECJ)
    • Note different rules in Member States
akzo cfi on in house lawyers
Akzo: CFI on in-house lawyers
  • Refusal to extend scope of legal privilege to employed lawyers despite arguments by Akzo and interveners
    • changes in Member State laws
    • modernization and current practice
    • fundamental rights
    • policy arguments for competition law enforcement
  • Is employment the right test for independence?
  • Status of advice from non-EU outside lawyers?
akzo cfi on procedure
Akzo: CFI on procedure
  • Commission not entitled to read disputed documents before adopting decision that undertaking can appeal to the Court (harm upon disclosure)
  • Cursory look not allowed if requires contents to be disclosed
  • Sealed envelope procedure
akzo cfi on preparatory documents
Akzo: CFI on preparatory documents

Discussing with a lawyer is not enough!

  • Preparatory documents can be covered by privilege if drawn up exclusively for seeking legal advice from an outside counsel in exercise of the right of defence
  • It hasto be unambiguously clear either from the content or from the context that the document was created for the purpose of seeking legal advice
situation after akzo
Situation after Akzo

Personal scope of protection

  • Privilege not extended to in-house lawyers, even if members of a Bar or a Law Society
  • Privilege does not extend to external counsel who are not members of a Bar or a Law Society in an EU Member State? (not at issue in case)

Material scope of protection

  • Preparatory or working documents can be covered by privilege, but strict conditions have to be met and the burden of proof is on the company

Procedural safeguards

  • An inspecting agency is in principle not entitled to cast even a “cursory look” at the documents potentially covered by privilege before allowing the chance to raise the privilege claim before the Court
eu vs member state rules
EU vs. Member State rules
  • Member State rules on whether privilege applies to in-house counsel communications differ:
    • Belgium, Germany, UK, Netherlands …
    • Austria, Italy, France, new Member States …
implications in cross border investigations
Implications in cross-border investigations
  • Article 12 of Regulation 1/2003 allows the Commission or a National Competition Authority (NCA) to receive and use as evidence information that it could not have collected itself
  • Information can be collected by a NCA which is later forwarded to the NCA of a Member State with a higher standard of legal privilege
    • the OFT of the UK has noted that if it is sent the communications of in-house counsel by an NCA of another Member State where such communications are not privileged, it may use them in its investigation
  • Companies should not assume that the standard of legal privilege of the Member State where the information is used bythe NCA as evidence will necessarily apply
practical advice
Practical Advice
  • Documents should contain a clear indication that advice from an outside counsel is sought and be clearly marked as “privileged and confidential”
  • Ideally, all such documents should be addressed and sent directly to an outside counsel
  • Keep privileged documents separate from others
  • To the extent companies rely on certain communications being legally privileged, outside counsel should be instructed
  • Watch email practices!
  • US discovery
examples of documents
Examples of Documents
  • Compliance program materials
  • Interview transcripts
  • Summaries of facts to be provided to lawyers
  • Law firm memoranda
  • E-mails