Rethinking the Paradigms of International Arbitration - Institute Dossier XX

No. P819E

ISBN : 978-92-842-0644-5

The 20th Dossier of the ICC Institute of World Business Law contemplates how the pandemic has challenged procedural presumptions in international arbitration and paved the way for practitioners to rethink widely used case management techniques.

The Dossier addresses how the main procedural features of international arbitration can be adapted to meet the needs of a given case and in turn enhance efficiency of arbitration as a dispute resolution mechanism. The Dossier also explores the inherent powers of arbitral tribunals, including their role in promoting the use of technology and in proposing innovative approaches to structuring proceedings.

This edition of the Dossier examines current difficulties with document production with regard to the taking of evidence, proposing a technological update to the Redfern Schedule, and explaining the implications of using technology-assisted review (TAR) to comply with document production orders. Written by international practitioners, the Dossier provides insight into how the preparation of witness evidence might be improved to increase reliability and avoid duplication of submissions. In addition, it proposes new techniques for the management of expert evidence, designed to focus expert reports of like disciplines on duplicate/identical questions and data sets, to more easily identify points of agreement. The Dossier includes a chapter on the range of options available for arbitration hearings – in-person, hybrid and virtual – to tailor an effective hearing, based on specific circumstances of the case and on the designated seat of arbitration.

Inviting readers to rethink the paradigms of international arbitration, the Dossier presents pioneering ideas to shape the future of dispute resolution and better enable access to justice for everyone, everywhere.

Code ISBN : 978-92-842-0644-5
Number of pages : 231
Publishing date : 2023
Language : English

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

Chapter 9

Implementation of remote hearings: challenges and prospects from an African perspective

Mouhamed Kebe.... 195

I. Introduction.... 195

II. Countries with pre-existing infrastructure for online hearings.... 195

III. Countries slow to implement virtual hearings.... 196

IV. A closer look at africa.... 197

V. Arbitration in the virtual world: greater room for flexibility and more benefits.... 198

VI. Adjustment to virtual arbitration in the context of africa.... 199

VI.1. West and Central Africa, including the OHADA zone.... 199

VI.2. East Africa.... 200

VI.3. North Africa.... 201

VI.4. Southern Africa.... 201

VI.5. Challenges particular to virtual hearings—technology, witnesses, and other challenges.... 202

VII. Conclusion.... 208

Concluding remarks

Patricia Peterson.... 213

I. A look to the past.... 213

II. A look at the present.... 215

III. The contributions in this dossier.... 215

IV. A look to the future.... 220

Biographies.... 224

Table of cases.... 229

ICC dispute resolution publications.... 232

About ICC.... 238

Edited by

Bernardo M. Cremades

Patricia Peterson

Authors (as they appear in the publication)

Catherine Kessedjian

David W. Rivkin 

Gonzalo Stampa

Kathryn Khamsi 

Xavier Favre-Bulle

Christopher Newmark

Doug Jones

Robert Turnbull

Stephanie Cohen

Jason Chan

Mouhamed Kebe

Patricia Peterson