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UIA 58TH CONGRESS - INTERNATIONAL ARBITRATION The art of the Redfern Schedule: A closer look at standards of relevance and materiality of evidence.

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Présentation au sujet: "UIA 58TH CONGRESS - INTERNATIONAL ARBITRATION The art of the Redfern Schedule: A closer look at standards of relevance and materiality of evidence."— Transcription de la présentation:

1 UIA 58TH CONGRESS - INTERNATIONAL ARBITRATION The art of the Redfern Schedule: A closer look at standards of relevance and materiality of evidence and the law applicable to privilege Friday 31st October 2014 Peter Rosher Partner Solicitor (England & Wales) & Avocat à la Cour (Paris)

2 Introduction Relevance and materiality standards Legal privilege
Standards de pertinence et d’importance relative Le secret professionnel

3 Buyer / Acquéreur Seller / Vendeur (French Company) (UK Company)
1. Relevance and materiality standards Case Study : Scenario 1 / 1. Standards de pertinence et importance relative Cas Pratique : Scénario 1 Buyer / Acquéreur (French Company) Seller / Vendeur (UK Company) Target / Société cible (German Subsidiary)

4 How does the Claimant prove its case
How does the Claimant prove its case? / Le demandeur : comment peut-il établir sa preuve ? Relevance and materiality Which documents would you want to access? Pertinence et importance relative Quels documents demanderiez-vous?

5 Obstacles to disclosure / Obstacles à la divulgation
Key evidence is possessed by the other side Burden of proof and duty to disclose evidence Uncertainty and difficulty in establishing relevance and materiality “Fishing expeditions” Les pièces essentielles sont détenues par la partie adverse La charge de la preuve et l‘obligation de divulguer des pièces L’incertitude et la difficulté d’établir la pertinence et l’importance relative « La pêche aux documents »

6 Example Redfern Schedule
You advise: The Claimant The Respondent How would you convince the Tribunal? You are the arbitrator What do you decide ? Vous conseillez : Le demandeur Le défendeur Comment convaincriez-vous le Tribunal? Vous êtes l’arbitre Que décidez-vous ?

7 Example Redfern Schedule
Document or category of documents Document ou catégorie des documents Relevance and materiality Pertinence et importance relative Possession of Documents Possession des documents Respondent’s Objections Objections du défendeur Arbitral Tribunal’s Decision Décision du Tribunal The minutes of Respondent’s June 2012 executive committee meeting relating to profit forecasting of Target company. Respondent’s defence is (in part) that it made no misrepresentation and took reasonable steps to make an honest forecast. The Minutes of the executive committee meetings could shed light on the extent to which Respondent believed in the viability of the profit forecasts it submitted prior to the SPA. This meeting was referred to by letter X. It is highly likely that minutes were taken of that meeting. These documents are not in the Claimant’s possession. The minutes of Respondent’s June 2012 executive committee meeting are not relevant to the issues in the present dispute. The minutes of this meeting relate to other, unrelated corporate governance issues which are commercially sensitive and confidential. Accordingly, Respondent objects on the grounds of : Lack of sufficient relevance to the case or materiality to its outcome (Article 9(2)(a) of the IBA Rules. - Grounds of commercial confidentiality (Article 9(2)(e) IBA Rules). ???

8 Target / Société acquise (German Subsidiary)
2. Different standards of legal privilege Case Study : Scenario 2 / 2. Standards différents du secret professionnel Cas Pratique : Scénario 2 Buyer / Acquéreur (French Company) Seller / Vendeur (UK Company) Target / Société acquise (German Subsidiary)

9 Legal Privilege – UK Legal privilege:
A right which clients are free to waive Is strictly attached to the content of the communication rather than the author or the recipient Documents drafted by lawyers or in-house counsel may be covered by legal privilege « Legal privilege »: Un droit du client auquel il peut librement renoncer Est attaché au stricte contenu de la communication, non à la personne de l’auteur ou du destinataire Les documents établis par les avocats et les « in house lawyers » bénéficient indifféremment de cette protection

10 « Secret Professionnel » – France
Professional Secret: Duty of all lawyers which is a question of public policy Protects legal opinions, all supporting documents in lawyers’ possession including s and calendar Whilst lawyers are bound by the duty of professional secret, in-house counsel are not Waivers by client have no legal effect on lawyers’ duties . Secret professionnel: Une obligation d’ordre public à la charge des avocats Protège les avis juridiques et tous les documents qui en sont le support, y compris mails et agenda de l’avocat Seul l’avocat est soumis au secret professionnel, les juristes d’entreprise ne le sont pas L’avocat ne peut en être relevé par son client .

11 Example Redfern Schedule (2)
Document or category of documents Document ou catégorie des documents Relevance and materiality Pertinence et importance relative Possession of Documents Possession des documents Respondent’s Objections Objections du défendeur Arbitral Tribunal’s Decision Décision du Tribunal The minutes of Respondent’s August 2012 meeting with in-house counsel. Respondent’s defence is (in part) that it made no misrepresentation and took reasonable steps to make an honest profit forecast forecast. The Minutes of the meetings with counsel will demonstrate the extent to which Respondent took legal advice on misrepresentation and therefore whether it made its representation / warranty in good faith. This meeting was referred to by letter X. It is highly likely that minutes were taken of that meeting. These documents are not in the Claimant’s possession. The minutes of Respondent’s August 2012 executive committee meeting are covered by its right of legal privilege. During the course of this meeting, the Respondent took legal advice from its in-house counsel on a ranger of legal issues in relation to the transaction. The minutes of this meeting cannot therefore be disclosed as a matter of public policy in UK law. Accordingly, Respondent objects on the grounds of : - Grounds of legal privilege (Article 9(2)(b) IBA Rules). ???

12 Choosing privilege standards in International Arbitration / Choisir les standards de secret professionnel en arbitrage international Arbitration – no law of the forum Which standard should apply? You represent : The Claimant The Respondent How would you convince the Tribunal? Arbitration – aucune loi du for Quel standard devrait s’appliquer? Vous conseillez: Le demandeur Le défendeur Comment convaincriez-vous le Tribunal?

13 Choosing privilege standards in International Arbitration (2) / Choisir les standards de secret professionnel en arbitrage international You are the arbitrator How would you decide? Methods of determining the standard : Directly chosen by the parties; Governing law of the contract; Law of the arbitral procedure; or “Centre of gravity” of the arbitration. Other issues to resolve: Uniform or Distributive application? Most or Least favoured law? “Ad hoc” choice Vous êtes l’arbitre Comment décideriez-vous ? Les méthodes de détermination du standard : La loi choisie par les parties; Le droit applicable au contrat; Le droit applicable à la procédure arbitrale; ou Le « centre de gravité » de l’arbitrage. Autres questions à résoudre: Une application uniforme ou distributive? La loi la plus ou la moins favorable? Un choix « ad hoc » de l’arbitre

14 Conclusion A movement towards conciliation between Civil and Common Law traditions? Un mouvement vers une conciliation entre les traditions de Droit Civil et Common Law?

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