Strengt fortroligt Ethics in arbitration certain issues related to witnesses Advokatdagarna, 14 October 2011
Debated issues regarding witnesses Debate spurred by the 38 th Nordiskt Juristmöte Niels Fisch-Thomsen: Advokaters integritet bevispåvirkning, sandhedspligt m.m. Contact to witnesses Rehearse testimony before oral hearing Access to exhibits and other documents Explanation of legal issues in dispute and access to legal submissions More detailed regulation necessary 2
Issues regarding witnesses Debate spurred by the 38 th Nordiskt Juristmöte Fisch-Thomsen s 5 guiding principles Never encourage untrue or misleading testimony Free communication with party representatives, including access to exhibits and legal submissions Party employees should only have access to and be involved in discussions regarding factual matters A party s other employees etc. may only be approached regarding their knowledge of factual matters Other witnesses may only be approached in order to make sure that their testimony is relevant 3
The debate in Denmark following the 38 th Nordiskt Juristmöte Issues in debate Contact at all Nature of contact and disclosure Whose witness is it and who may contact the witness Notice to other party if witness is contacted Need for regulation 4
The debate in Denmark following the 38 th Nordiskt Juristmöte Sources of the Danish debate Advokaten (9/2008 and 1/2009) Danish Bar and Law Society (Standing Committee on Dispute Resolution) Danish Arbitration Association (Rules on the Taking of Evidence) ( DAA Rules ) Revised Code of Conduct adopted by the General Counsel of the Danish Bar an Law Society ( Code of Conduct ) 5
Whose witness is it and who may contact the witness Not resolved in Danish Administration of Justice Act or in the DAA Rules Case law based on first come first principle with certain exceptions Party representatives Witnesses affiliated with the party (e.g. employees and former employees) Implications of first come first principle Lead the oral testimony Contact the witnesses? Supreme Court decision from 2010 New Rule 18.3 of Code of Conduct 6
Nature of contact to witnesses Traditional Danish view: Contact, discuss but no attempt to influence the witness Fisch-Thomsen s more restrictive view does not reflect arbitration practice in Denmark Now Rule 18.3 of Code of Conduct gives some, albeit limited, guidance Find out what the witness is able to explain Support truthful and relevant contribution to the evidence of the case Enable the witness to prepare for the testimony Explain that witness is not obliged to talk to counsel 7
Nature of contact to witnesses Rule 18.3 is very general DAA Rules gives some guidance Witness statements allowed assumes elaborate contact Disclosure requirements Where does this leave us? Mitigant to more elaborate witness preparation More latitude in cross examination (see DAA rules Section 7.4) Not restrictive regulation 8
Rule 18.3 of Code of Conduct En advokat, der repræsenterer en part i en retssag, kan kontakte et vidne forud for vidneafhøringen for at klarlægge, hvad vidnet kan forklare og for at sætte vidnet i stand til at forberede sig på vidneafhøringen. En advokats dialog med et vidne skal altid ske på en måde, der er egnet til at understøtte, at vidnet så korrekt som muligt bidrager til sagens oplysning. En advokat skal i forbindelse med enhver henvendelse til et vidne forud for vidneafhøringen sikre, at vidnet er bekendt med, at vidnet ikke har pligt til at udtale sig til advokaten. Når det er påkrævet, skal advokaten orientere modpartens advokat om den kontakt, advokaten agter at tage eller har haft med et vidne. Sådan information skal navnlig gives, hvis vidnet har en særlig relation til modparten. Der vil normalt ikke være behov for en orientering af modparten, hvis advokaten har ført vidnet i en forudgående instans, hvis vidnet er ansat hos den part, advokaten repræsenterer, eller hvis parten har en anden særlig tilknytning til vidnet. Det forhold, at et vidne føres af modparten, påvirker ikke i sig selv advokatens adgang til at kontakte et vidne. 9
The DAA Rules Section 3.4 (unauthorized translation) Each written witness statement shall contain: (a) the full name and address of the witness, his or her present and past relationship, if any, with the members of the Arbitral Tribunal, any of the Parties and their advisors, and a short description of his or her background, qualifications, and formal training; (b) a description of the facts and the source of the witness s information as to those facts; (c) a report on how the statement was prepared; (d) an affirmation that the witness considers the statement to be accurate; and (e) the signature of the witness and specification of date and place. 10
The DAA Rules Section 7 - Oral testimony before the Arbitral Tribunal (unauthorized translation) 7.1 The Parties give notice to the persons who are going to make oral testimony before the Arbitral Tribunal. 7.2. The Arbitral Tribunal determines whether notes or other assisting material may be used during oral testimony. The Arbitral Tribunal determines in consultation with the Parties whether oral testimony may be given through the use of telecommunications. 7.3 Anyone giving oral testimony must tell the truth. If the person giving oral testimony has submitted a written statement or an expert report beforehand, the person shall declare whether its content is accurate. 11
The DAA Rules Section 7 - Oral testimony before the Arbitral Tribunal (unautorized translation) 7.4 Questioning must be made in a manner suitable to evoke a clear and accurate statement, and the person giving the statement must be given an opportunity to make an uninterrupted statement. Leading questions should be avoided, also during cross-examination. Questioning should not be made in an inappropriate manner. Evidence on the general credibility of a person giving a statement can only take place in a manner and to the extent allowed by the Arbitral Tribunal. 7.5 Each witness shall be questioned individually. Prior to his/her own statement, a witness may not hear the statements given by other witnesses unless otherwise agreed by the Parties. After consultation with the Parties, the Arbitral Tribunal may, however, determine that several witnesses be questioned at the same time. 12
The DAA Rules Section 7 - Oral testimony before the Arbitral Tribunal (unauthorized translation) 7.6 It the Parties cannot agree on the order of the persons giving statements or on who may question a witness first, the Arbitral Tribunal shall decide this. The opposing Party may cross-examine witnesses, Parties and representatives of the Parties. In its questions, the opposing Party is not restricted by the other Party s initial questioning. The other Party may subsequently ask supplementary questions. The Arbitral Tribunal may ask questions at any time. 13
Contact information Nørregade 21 DK-1165 Copenhagen K Denmark Tel: +45 33 34 50 00 Fax: +45 33 34 50 50 www.bruunhjejle.dk Karsten Kristoffersen, partner E-mail: kk@bruunhjejle.dk Tel: +45 33 34 53 40 Mob: +45 61 69 39 79 14