Rethinking the Paradigms of International Arbitration - Institute Dossier XX

Chapter 1

Inherent and discretionary powers of arbitrators

Catherine Kessedjian.... 17

I. Introduction.... 17

II. Five transversal issues.... 19

(a) Should/could the tribunal act sua sponte?.... 19

(b) The president’s powers and the internal functioning of the tribunal.... 20

(c) Seeking the parties’ agreement or observations  21

(d) Should the tribunal justify its use of inherent powers?.... 23

(e) Are inherent powers discretionary?.... 23

III. Inherent powers linked to the management of the proceedings and evidence, or inward-looking powers.... 24

(a) Evidence.... 25

(b) Interim measures.... 26

(c) Professional ethical issues or disciplinary powers.... 26

(d) Main case management decisions.... 26

(e) Costs.... 28

IV. Inherent powers linked to the substance of the dispute or outward-looking powers.... 29

(a) Settlement facilitation.... 29

(b) Raising legal issues not raised by the parties.... 30

V. Conclusion.... 32

Chapter 2

Technology and arbitration: revisiting the paradigms of case management

David W. Rivkin.... 36

I. Introduction.... 36

II. The prevailing paradigm.... 37

III. A state of crisis.... 38

III.1. Pre-pandemic challenges to the prevailing paradigm.... 38

III.2. The pandemic as a catalyst for change.... 39

IV. Adoption of new paradigms?.... 41

IV.1. Low-hanging fruit.... 41

IV.2. A more radical proposal.... 42

V. Conclusion.... 48

Annex to Chapter 2: Town Elder arbitration rules (as of 20 January 2022).... 51

Chapter 3

Refreshing Redfern: the document production schedule

Gonzalo Stampa.... 57

I. Document production in international commercial arbitration.... 57

II. The Redfern schedule: uses and misuses in practice and proposals to improve its efficiency.... 62

III. Document production schedule.... 64

III.1. The general principles associated with the use of the DPS.... 65

III.2. The format of the DPS.... 66

IV. Conclusion.... 68

Annex 1 to Chapter 3: Bibliography (document references used in this chapter).... 73

Annex 2 to Chapter 3: Procedure for analysis of DPS data.... 75

Annex 3 to Chapter 3: Sample DPS.... 76

Chapter 4

Compliance with document production orders

Kathryn Khamsi.... 87

I. Introduction.... 87

II. Ensuring compliance with document production orders: traditional paradigm.... 87

III. Technology-assisted review (TAR).... 90

IV. Oversight of TAR.... 91

IV.1. Whether and when to use TAR?.... 92

IV.2. When is the TAR finished?.... 94

V. Conclusion.... 96

Chapter 5

The use and abuse of factual witnesses

Xavier Favre-Bulle and Christopher Newmark.... 100

I. Introduction: setting the scene.... 100

I.1. Using witness evidence: when and for what purpose?.... 100

I.2. Witnesses as supporting evidence: need for underlying factual allegations?.... 101

I.3. Mandatory limitations to collecting witness evidence?.... 102

II. Relevant soft law and studies.... 103

II.1. IBA (Rules of evidence; Guidelines on party representation); Prague Rules; ASA Toolbox; etc...... 103

II.2. Report on the accuracy of fact witness memory in international arbitration of the ICC Task Force maximising the probative value

of witness evidence.... 108

III. Fighting against abuses: when is witness evidence misused?.... 111

IV. How best to prepare, present and use witness evidence?.... 113

IV.1. Role of counsel when interviewing witnesses.... 113

IV.2. Written witness statements or not?.... 116

IV.3. Best practices for drafting witness statements.... 119

IV.4. Witness ‘preparation’ before the hearing.... 122

IV.5. Witness evidence at the hearing.... 124

V. Assessment and conclusions: the need for new rules (mandatory/soft law) and/or reinforced directions by arbitral tribunals?.... 128

V.1. Enhanced procedural directions for streamlining the witness evidentiary process?.... 128

V.2. Are the IBA Rules of evidence, Prague Rules and other soft law instruments sufficient? Is more needed?.... 130

Chapter 6

Witness statements and memorials

Doug Jones and Robert Turnbull.... 133

I. Introduction.... 133

II. What are witness statements?.... 134

III. What is holding back witness statements?.... 134

IV. What should a witness statement do?.... 135

V. How do we improve witness statements?.... 135

VI. What effect have the proposals had?.... 136

VII. Conclusion.... 137

Annex to Chapter 6: Draft procedural order dealing with Witnesses.... 139

Chapter 7

Redefining the role and value of expert evidence

Doug Jones.... 142

I. Introduction.... 142

II. Who are the expert witnesses?.... 142

III. Methods of appointment.... 144

III.1.The meeting of traditions in international arbitration rules.... 144

IV. Comparative analysis.... 148

IV.1. Tribunal appointed experts.... 148

IV.2. Party appointed experts.... 155

V. Proposed solutions.... 161

V.1. Party appointed experts case management protocol.... 162

V.2. Post-hearing expert access protocol.... 165

VI. Conclusion.... 167

Annex 1 to Chapter 7: Example expert witness procedural order.... 172

Annex 2: Example expert access protocol (quantum experts).... 174

Chapter 8

Reflections on “effective” evidentiary hearings and the staying power of virtual hearings

Stephanie Cohen and Jason Chan.... 176

I. Introduction.... 176

II. Virtual hearings: fit for crisis.... 177

III. Effectiveness for enforceability beyond crisis.... 178

IV. Shifting procedural norms.... 179

V. Traditional preferences for in-person hearings.... 181

VI. Effectiveness limited by technological competence.... 181

VII. Effectiveness in eliciting truthful testimony.... 182

VIII. Effectiveness for assessing demeanour and credibility.... 183

IX. Effectiveness of advocacy.... 185

X. Technological equality of arms.... 186

XI. Time zones.... 187

XII. Client engagement and settlement.... 188

XIII. Team communications and tribunal deliberations.... 188

XIV. Efficiency of time and costs.... 188

XV. Environmental impact.... 188

XVI. Conclusion.... 189