Following from the definition of client in TR5 Hildyard J commented in obiter that in a corporate context it may be that «only individuals... constituting part of the directing mind and will of the corporation can be treated for the purpose of legal
advice privilege as being... the client».
In fact, EU law has found that communications between in - house lawyers and a company's staff don't warrant the protection of legal
advice privilege as in - house lawyers are viewed as «insufficiently independent — structurally, hierarchically, and functionally» from their employers.
Not exact matches
«Our
advice was rendered to the lawyers and their clients under attorney - client
privilege, and documents we sent to the lawyers and their clients were properly labeled
as privileged communications,» Behan said in an email.
Amazon, in response, invoked a shield known
as attorney - client
privilege, which allows parties to withhold information that was obtained while seeking legal
advice.
Q:
As a highly qualified, seasoned diver who's had the
privilege of diving across the globe, what diving
advice would you give your younger self when you first embarked on your diving career?
Only unexecuted or draft documents are subject to a claim of solicitor - client
privilege as these documents implicitly contain legal
advice about possible actions that may be taken.»
RBS claimed legal
advice privilege in «transcripts, notes or other records» of interviews conducted by or on behalf of the bank with its employees and ex-employees
as part of internal investigations after the rights issue, but before litigation was contemplated.
As a result, there are two heads of legal professional
privilege: legal
advice privilege and litigation
privilege.
As with Hong Kong, the scope of litigation
privilege is broader than legal
advice privilege.
To establish what is referred to
as the attorney - client
privilege, four basic elements must be present: (i) a client; (ii) a lawyer; (iii) a communication in aid of giving or seeking legal
advice; and (iv) a reasonable and continuing expectation of confidentiality.7
The takeaway for everyday practitioners here is similar: courts have rejected attorney - client
privilege claims where the lawyer is providing mere business
advice masquerading
as legal
advice.
The Third Circuit in In re Bevill Bresler & Schulman Asset Management Corp., developed a five - part test (the Bevill test) to examine the merits of such an assertion by an individual employee against company counsel.50 Under this test, employees must show that (1) they approached corporate counsel for the purpose of seeking legal
advice; (2) they made it clear that they were seeking
advice in their individual capacity; (3) counsel sought to communicate with the employee in this individual capacity, mindful of the conflicts with its representation of the company; (4) the communications were confidential; and (5) the communications did not concern the employee's official duties or the general affairs of the company.51 The Bevill test has been recognised by other jurisdictions
as a means of assessing whether a company employee may assert attorney — client
privilege in an individual capacity arising out of communications with corporate counsel.52 (See also Chapter 13 on employee rights.)
A final consideration is that the scope of legal
advice privilege applies so long
as in - house lawyers act in a legal rather than an executive capacity.
In this sense, even though UK law will apply to domestic competition matters, and in - house lawyer / client communications will remain protected by legal
advice privilege, caution must still be taken by UK in - house lawyers
as domestic competition matters often escalate into European jurisdictions where different precedents apply.
However, if the materials over which legal professional
privilege are being asserted are central to any enforcement investigation (such
as a party defending certain conduct on the basis that it was taken on foot of legal
advice), it may appear unco - operative to refuse to disclose such material.
Confidentiality & justice
As a society we are concerned for justice at all costs (to which the
advice privilege rule and public interest immunity are exceptions).
At the same time
as the justices in Re A were briefly deliberating, seven justices (Lords Neuberger, Clarke and Reed were common to both constitutions) were addressing the subject of
privilege in the context of legal
advice (R (Prudential plc and anor) v Special Commissioner of Income Tax [2013] UKSC 1: legal
advice privilege does not apply to
advice on law given by accountants).
Mediators like accountants plainly fall outside the protection of legal professional
privilege, which attaches to communications between lawyers and their clients by virtue of the status of the lawyer
as such, rather than merely because a person is giving legal
advice.
As an adjunct instructor at my law school, I have the
privilege of imparting practical
advice to law students.
Despite this, the trend of non-lawyers being appointed
as AGs is not abating and the issue of whether Solicitor - Client
Privilege covers their
advice is likely to come before the courts eventually.
Courts have accepted their arguments that «the
Privilege» (
as I like to call it) should not apply to tax accountants, patent agents, notaries or paralegals, even if those professionals are providing the same
advice that lawyers would.
Much of the legal
advice that a non-lawyer Attorney General provides will be the subject of other
privileges such
as: crown
privilege, litigation
privilege and prosecutorial discretion.
Under existing doctrine, it is difficult to reach any other conclusion other than that legal
advice from a non-lawyer Attorney General is not encompassed by Solicitor - Client
Privilege because a non-lawyer Attorney General does not qualify
as a «professional legal adviser».
A distinction needs to be made between an agent for the purposes of communication, that is to say a mere conduit between the client and the lawyer, such
as an interpreter (where intellectual input by the agent will risk destroying the
privilege [63]-RRB- and an agent for the purposes of seeking and obtaining the
advice (where it will not).
Lord Rodger emphasised [68] that
privilege would similarly have applied «to presentational
advice sought from lawyers by any individual or company who believed himself, herself or itself to be at risk of criticism by an inquiry», emphasising that the «defence of personal reputation and integrity is at least
as important to many individuals and companies
as the pursuit or defence of legal rights whether under private law or public law».
To counterbalance this broad disclosure obligation, attorney — client
privilege also has a vast reach
as soon
as documents are prepared for the purpose of providing legal
advice and the attorney — client
privilege can also be claimed by in - house legal departments.
Common interest
privilege (
as with joint interest
privilege) is traditionally analysed
as a distinct category of
privilege, although it depends on the existence of material to which either legal
advice or litigation
privilege applies.
The claimant, Property Alliance Group (PAG), challenged RBS's claim to
privilege over these documents, contending that the role of RBS's solicitors was not confined to the provision of legal
advice but extended to the performance of administrative functions (for example, acting
as the secretariat for the ESG and attending its meetings) for which
privilege could not be claimed.
Common interest
privilege (like joint interest
privilege, which is not discussed here) can be said to be derivative insofar
as it relies on establishing the existence of a primary ground of
privilege (whether legal
advice or litigation
privilege) and then determining the circumstances in which multiple persons become entitled to assert it.
[82]
As regards documents actually brought into existence by a client's lawyer, the better view is that these are in fact protected by legal
advice privilege (see Section 31.3).
Is the fact that one is providing legal
advice to a person a matter of
privilege, once the proceedings are under way,
as distinct from the content of the
advice?
Advice should be sought
as to how to maintain
privilege if disclosure of privileged communications is contemplated.
Prudential had sought to extend
privilege to
advice on tax law given by accountants, thus allowing it to withhold that
advice from bodies such
as HMRC.
•
As you become increasingly involved in developing business solutions and making business decisions, you need to practise identifying and separating legal from business advice, as privilege will not attach to the latte
As you become increasingly involved in developing business solutions and making business decisions, you need to practise identifying and separating legal from business
advice,
as privilege will not attach to the latte
as privilege will not attach to the latter.
Here the court will consider a number of factors to determine the purpose for which the documents were prepared, including for example whether the document itself hints at whether it has been prepared for the exclusive purpose of gathering facts or material for legal
advice (eg, because it is addressed to a lawyer, or is marked
as being subject to
privilege),
as well
as the wider context (eg, who the author is, or the circumstances in which the document was found).
As such, if an organisation has been engaged by a client other than to provide legal
advice and assistance (e.g. to provide project management
advice, contractual
advice and / or adjudication
advice, all of which are different to the provision of actual legal
advice), then it is unlikely that
privilege will apply to that
advice regardless of whether the organisation employs solicitors and / or barristers.
In that case, the court ruled that
as such, accountants providing tax law
advice did not benefit from the
privilege, even though their
advice was of a legal nature.
The
privilege applies only to communications with external lawyers, qualified to practice in a jurisdiction of the European Economic Area (EEA),
as well
as to documents prepared exclusively for the purpose of seeking their
advice.
Caution must be exercised
as any comments or observations regarding the
advice included in the note by its author will not be protected by the
privilege.
There can be no question that
privilege can certainly apply to communication between at least some client employees, such
as senior managers who communicate with an external lawyer to seek
advice or employees who prepare documents for the exclusive purpose of seeking legal
advice from external counsel.
As a law firm, we are particularly sensitive to, and able to provide
advice on, matters of solicitor - client
privilege.
There is a greater likelihood of maintaining
privilege protections in interviews conducted by outside counsel because they are more likely to be viewed by courts
as conducting an investigation for the primary purpose of providing legal
advice,
as opposed to in - house counsel who often operate in a business capacity in their daily functions.
``... the perception of a lawyer and the legal profession remains
as someone or something that we need usually in a stressful, difficult situation / time and that,
as a buyer of legal
advice / services, you're going to get whacked with an expensive bill for a piece of work that you don't understand for the
privilege of not being communicated with very often throughout the process.»
[50] The court rejected ENRC's argument that legal
advice privilege applied to lawyers» notes of interviews, and found that the question of whether legal
advice privilege applied was an evidential one
as to whether the notes demonstrated the legal analysis and «tenor» of the
advice.
Privilege also applies to communications with in - house counsel, so long
as the communications are for the purpose of giving legal
advice (Alfred Crompton Amusement Machines Ltd v Customs & Excise Comms (No. 2)[1972] 2 QB 102).
To recap the test for litigation
privilege as set out in Three Rivers District Council and others - v - Governor and Company of the Bank of England (No 5)[2003] EWCA Civ 474 by the Court of Appeal, is that communications between parties or their solicitors and third parties for the purpose of obtaining information or
advice in connection with existing or contemplated litigation qualify for litigation
privilege if, at the time of the communication in question, the following conditions are satisfied:
It should be remembered, of course, that
privilege (unlike confidentiality) only arises when the client's purpose in supplying that information has been for the obtaining of legal
advice and is directly related to the performance by the solicitor of his or her professional duty
as the legal adviser of the client.
The Law Society's view (and one must be cautious here
as the practice note advises that the solicitor takes independent legal
advice — I would personally suggest that any solicitor grappling with this issue seeks an emergency declaration before the High Court) is that TA 2000, ss 19 and 21A do not override legal
privilege.
(1) it is «preferable, for both firms and clients, to afford consultations with a firm's in - house counsel the protection of the attorney - client
privilege, even
as against the client, so
as to «encourage firm members to seek early
advice about their duties to clients and to correct mistakes or loses, if possible, to alleviate harm»» to the client;
In line with a growing trend reflected in decisions from state supreme courts (those in Georgia, Massachusetts and Oregon),
as well
as from several federal trial courts, the New York intermediate appeals court recognized that «attorneys who have sought the
advice of their law firm's in - house general counsel on their ethical obligations in representing a firm client may [properly] invoke [the] attorney - client
privilege to resist the client's demand for the disclosure of communications seeking or giving such
advice.»