i-law

Rules of Evidence in International Arbitration

Page 391

Index

Index
  • Chemtura Corporation v Government of Canada Appendix 4
  • Commercial and technical confidentiality 9.82–9.90
    • agreements with third parties 9.85–9.86
    • case by case analysis 9.84
    • resolving objections 9.87–9.90
    • special consideration 9.83
  • Common sense
  • Common statements 1.05
  • Common usage
  • Confidentiality of disclosed documents 3.145–3.176
  • Confidentiality undertaking for third–party experts Appendix 4
  • Confirmation of statement 8.82
  • Confirmations 8.75–8.83
  • Contents of expert report 5.10–5.25
  • Control of examination of witness 8.27–8.30
  • Costs
    • document production, and 7.53
    • good faith, and 7.43
    • tribunal–appointed experts 6.62
  • Court assistance in taking documentary evidence 3.93–3.114
    • scope of article 3.9 3.100–3.105
    • threshold issues 3.95–3.99
    • treatment of evidence obtained by unauthorised legal process 3.114
    • tribunal’s authority over ancillary evidence gathering 3.106–3.113
  • Cross–examination
  • Customary practice
    • witness statements 4.23
  • Deliberative privilege 9.99
  • Depositions 2.02, 2.03–2.20
    • arbitration agreements permitting 2.06–2.14
    • common usage 2.09
    • conduct of 2.12
    • failure by counsel for adverse party to attend 2.18
    • faithful record of testimony 2.13
    • intent behind reference 2.07
    • interviewing adverse witnesses prior to hearing 2.19, 2.20
    • meaning 2.04
    • order by tribunal 2.16, 2.17
    • past tribunals, experience of 2.10
    • sample clause 2.03
    • US practice 2.04, 2.05
    • use to obtain testimony from witnesses unable to attend hearing 2.15–2.18
    • witnesses, availability of 2.11, 2.14

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    Determination of foreign law 6.14
  • Direct testimony 8.40–8.42
    • witness statements as 8.83
  • Discovery and limited disclosure
    • difference between 3.30
  • Document production 3.01–3.91
  • Documentary evidence 3.01–3.191
    • accuracy of reproduction 3.135–3.138
    • adverse document disclosure 3.22–3.24
    • allegations of forgery 3.139–3.141
    • application of substantive law standard 3.181–3.183
    • authenticity 3.131–3.144
    • award or procedural order 3.184
    • broader approach 3.33
    • burdensome for requesting party to produce 3.47, 3.48
    • categories of document 3.35–3.39
    • checklist of requirements for request for production 3.26
    • civil law preference for 3.03
    • civil law view of disclosure 3.32–3.34
    • common law jurisdictions 3.02
    • completion of document production phase 3.11, 3.12
    • conducting disclosure without tribunal’s involvement 3.20
    • confidentiality of disclosed documents 3.145–3.176 see also Confidentiality of disclosed documents
    • consultations between parties 3.68, 3.69
    • control issue 3.49–3.52
    • control of procedure by tribunal 3.06
    • copies 3.131–3.144
    • court assistance in taking 3.93–3.114
      • scope of article 3.9 3.100–3.105
      • threshold issues 3.95–3.99
      • treatment of evidence obtained by unauthorised legal process 3.114
      • tribunal’s authority over ancillary evidence gathering 3.106–3.113
    • customary filing deadlines 3.09, 3.10
    • customary timing of disclosure phase 3.19
    • demonstrating possession, custody or control 3.49–3.52
    • difference between discovery and limited disclosure 3.30
    • different phases of production 3.177–3.179
    • disclosure based on substantive right 3.180–3.184
    • disclosure in arbitration versus US–style discovery 3.29–3.31
    • duty to provide good faith answers to request 3.54, 3.59–3.61
    • electronic documents 3.40–3.44 see also Electronic discovery
    • equal treatment 3.25
    • ethical considerations for counsel 3.28, 3.57,3.63
    • failure to meet requirements of article 3.3 3.83, 3.84
    • filing deadlines 3.06–3.08
    • forgeries 3.131–3.144
    • form objection 3.83
    • further evidence 3.12
    • general considerations 3.04
    • general powers of tribunal to order disclosure 3.115–3.125
    • good faith 3.13
    • higher burden 3.81, 3.82
    • IBA Rules 3.04
    • interim measures 3.185–3.191
    • investor–state arbitration 3.53
    • irrelevant documents 3.56
    • late submission 3.06, 3.07, 3.08
    • limited disclosure 3.21–3.25
    • multi–parties 3.58
    • narrow and specific standard 3.35–3.39
    • no duty to voluntarily disclose adverse evidence 3.14, 3.15
    • not in possession, custody or control of requesting party 3.45, 3.46
    • objections 3.64–3.67
    • order to disclose 3.16
    • originals 3.131–3.144
    • preference for 3.01
    • procedural economy 3.55
    • produce or object 3.54
    • production of documents under protest 3.62
    • provisional measures 3.186, 3.187
    • rebuttal 3.126–3.130
    • Redfern schedule 3.64–3.67
    • relevance and materiality standard 3.70–3.80
    • request for document disclosure 3.14
    • standards applicable to request for disclosure 3.25
    • statement of claim 3.09
    • statement of defence 3.09
    • supplemental 3.126–3.130
    • time frame 3.36–3.39
    • timing of request for disclosure 3.17–3.19
    • translations 3.130–3.149
    • tribunal’s authority to compel party to use best efforts to obtain evidence 3.122
    • tribunal’s authority to order production of original 3.142–3.144
    • tribunal’s power to take any steps 3.123
    • tribunal’s right to request document production 3.118–3.121
    • using experts to resolve disputes 3.85–3.92
      • appointing expert 3.86, 3.87
      • failure by party to cooperate with expert 3.91
      • independence and impartiality of expert 3.88
      • role of expert 3.89, 3.90
    • wide–ranging discovery process 3.31, 3.34
  • Due process principles 1.12, 1.13
  • Duty to act in good faith 7.45–7.49
  • Duty to cooperate 7.45–7.49
  • Electronic discovery 3.40–3.44
    • categories 3.41
    • erased or fragmented data 3.43
    • limited in time and subject matter 3.42

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    Equal treatment
    • admissibility of evidence, and 9.109
    • documentary evidence 3.25
    • political or institutional sensitivity 9.94–9.96
    • privileges, and 9.60–9.64
    • procedural economy 9.112
  • Equality
    • requests for document production 9.128
    • rules of evidence 1.14
  • Equality of arms
  • Ethical considerations for counsel 3.28, 3.57, 3.63
  • Evaluation of materiality
    • witness statements 4.51
  • Evidentiary hearing 8.01–8.88
    • affirmations 8.75–8.83
    • authority to limit witness testimony 8.20–8.23
    • avoiding duplicative testimony 8.40–8.42
    • confirmations 8.75–8.83
    • control of examination of witness 8.27–8.30
    • direct testimony 8.40–8.42
    • excluding witnesses from hearing and due process 8.24, 8.25
    • hearing of witness after submission of written witness statement 8.12–8.15
    • in camera 8.48–8.50
    • irrelevant or immaterial questioning 8.34–8.39
    • language of 8.62–8.64
    • leading questions on direct examination 8.43
    • materiality of evidence 8.34–8.39
    • notification of witnesses 8.05–8.19
    • objections in relation to form of question 8.31–8.33
    • oral testimony 8.51–8.74
    • predominant purpose 8.03
    • raising objections during 8.26–8.33
    • relevance of evidence 8.34–8.39
    • right to 8.06–8.11
    • rules of limitation 8.28
    • sequestration of witnesses 8.44–8.47
    • summary of testimony 8.13
    • testifying by video conference 8.18, 8.19
    • tribunal’s authority to call witness on own motion 8.85–8.88
      • “any person” 8.85–8.87
      • no duty to order attendance 8.88
    • tribunal’s control over 8.20–8.50
    • which part may call witnesses 8.16, 8.17
  • Excluding witnesses from hearing
  • Exclusionary ruling 7.09, 7.10
  • Failure to call witness to hearing 4.60–4.62
  • Failure to give notice of witness within specified time 4.05–4.07
  • Failure to produce evidence
  • Fair procedure
  • Fairness 9.109, 9.115–9.124
  • Faithful record of testimony
  • Filing deadlines
  • Forgeries
  • Hearing schedule 8.70–8.74
  • Hwang Model Procedural Order on Confidentiality text Appendix 3
  • IBA Guidelines on Party Representation in International Arbitration text Appendix 5
  • IBA Rules of Evidence 1.15, 1.20–1.26
  • IBA Rules on the Taking of Evidence in International Arbitration text Appendix 1
  • Identification of witnesses of fact 4.04–4.07
  • Identifying experts 5.07
  • In camera hearings 8.48–8.50
  • Independence of experts 5.12–5.16, 6.23, 6.24, 6.25–6.26
  • Inspections 6.01–6.63
  • Interim measures 3.185–3.191
  • International arbitration
    • IBA Rules of Evidence, and 1.26
  • International standards
    • rules of evidence, and 1.19
  • Interrogations 2.02, 2.21–2.27
    • general guidelines for use 2.23–2.25
    • meaning 2.21
    • objections 2.25
    • specifying witness or representative to whom directed 2.24
    • tribunal involvement in drafting and approving 2.26, 2.27
    • use of 2.22

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    Interviewing adverse witnesses prior to hearing 2.19, 2.20
  • Investigations by tribunal–appointed experts 6.32–6.43
  • Investor–state arbitration
    • documentary evidence 3.53
  • Iran–US Claims Tribunal 9.36
  • Irrelevant documents 3.56
  • Irrelevant or immaterial questioning 8.34–8.39
  • Issue estoppel
  • Lacunae in evidentiary record
    • tribunal–appointed experts, and 6.08
  • Late evidence
    • witnesses, and 4.06
  • Late submission
  • Leading questions 8.43
  • Legal obligations of confidentiality
  • Legitimate interest
    • confidentiality, and 3.162
  • Liability of witness
    • relevance to case, and 9.10
  • Limited disclosure
  • Lost or destroyed evidence 9.77–9.81
    • civil disturbance or other disaster 9.81
    • lost due to passing of time 9.78–9.80
    • reasonable likelihood 9.77
  • Mandate
    • tribunal–appointed experts 6.04–6.22
  • Mandatory law
    • tribunal–appointed experts, and 6.18
  • Manipulation of access to relevant information 9.123, 9.124
  • Materiality of evidence 8.34–8.39
  • Merits of case
  • Multi–parties
    • documentary evidence 3.58
  • Non–appearance of witnesses 4.50
  • Non–cooperating witnesses 4.63–4.73
  • Notification of witnesses 8.05–8.19
  • Oaths
    • administration to witnesses 8.76–8.81
  • Objections to interrogations 2.25
  • Objections to production of evidence 9.65–9.76
  • Onus probandi actori incumbit 7.17–7.23
  • Opportunity to examine experts 6.53, 6.54
  • Oral testimony 8.51–8.74
    • cross–examination, right to 8.53–8.55
    • examination of tribunal–appointed expert 8.60, 8.61
    • examining witnesses using documents 8.56–8.58
    • hearing schedule 8.70–8.74
    • language of evidentiary hearing 8.62–8.64
    • questions by tribunal 8.65–8.67
    • re–cross examination 8.59
    • re–direct examination 8.59
    • witness conferencing 8.68, 8.69
  • Order to disclose documentary evidence 3.16
  • Original documentary evidence 3.131–3.144
  • Rebuttal expert reports 5.26, 5.27
  • Rebuttal witness statements 4.45–4.47
  • Re–cross examination 8.59
  • Redfern schedule 3.64–3.67
  • Re–direct examination 8.59
  • Relevance and materiality objections 9.06–9.17
    • modern practice 9.02
    • right to be heard, and 9.07
  • Relevance and materiality standard 3.70–3.80
  • Request for document disclosure 3.14
  • Requested evidence accessible to non–producing party
    • adverse inferences 7.41
  • Right to evidentiary hearing 8.06–8.11
  • Right to secrecy
    • political or institutional sensitivity 9.91. 9.92
  • Rules of evidence
  • Sensitive information
  • Sequestration of witnesses 8.44–8.47
  • Settlement privilege 9.33–9.40
  • Shifting burden of proof 7.31–7.36
  • Signature of witness 4.44
  • Standard of proof 7.26–7.30
    • balance of probabilities test 7.27
    • inner conviction test 7.28
  • Statement of claim 3.09
  • Statement of defence 3.09
  • Translations
    • documentary evidence 3.13
  • Transparency
  • Tribunal–appointed experts 6.01–6.63
    • adopting full findings of expert 6.60, 6.61
    • applying tribunal’s own expertise to determine specific issues 6.15–6.17
    • appointment 6.04–6.22
    • attributes of report 6.57–6.59
    • consultation with parties 6.04
    • costs 6.62
    • determination of foreign law 6.14
    • determining when specific issues have arisen 6.07–6.14
    • difference between roles of witness and arbitrator 6.16, 6.17
    • duty to weigh evidence 6.10
    • examination of 8.60, 8.61
    • formalities accompanying appointment 6.23–6.31
    • IBA Rules 6.03
    • independence 6.23, 6.24, 6.25–6.26
    • input from parties on content of terms of reference 6.06
    • inquisitorial nature 6.01, 6.02
    • investigations by 6.32–6.43
    • equal treatment, and 6.34, 6.39–6.43
    • issues to be referred to 6.11
    • lacunae in evidentiary record 6.08
    • mandate 6.04–6.22
    • mandatory law, required by 6.18
    • opportunity to examine 6.53, 6.54
    • party’s right to review and comment on report 6.44–6.52
    • qualifications 6.23, 6.24, 6.27–6.29

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      raising objections alter expert appointed 6.30, 6.31
    • right to review information relied upon by expert 6.51, 6.52
    • role 6.05
    • technical questions 6.12
    • terms of reference 6.19–6.22
      • compensation 6.21
      • descriptions of issues and/or questions to be considered 6.21
      • general admonition to remain neutral and independent 6.21
      • general availability 6.21
      • instructions concerning evidence and investigation 6.21
      • instructions concerning report 6.21
      • request to attend hearing 6.21
      • time frame for report 6.21
    • time for raising objections 6.23–6.31
    • weighing probative value of expert report 6.55–6.61
  • UNCITRAL Arbitration
    • Rules text Appendix 2
  • Uncontroverted and clear fact
    • judicial notice, and 2.32
  • Unlawful collection of evidence 9.119–9.122
  • Unreasonable burden 9.65–9.76
    • objective factors 9.69–9.72
    • party’s jurisdictional background 9.74–9.76
    • subjectivity 9.66
    • usefulness of documents 9.67
    • vague or overly broad requests 9.73
  • Use of documentary evidence in connection with arbitration 3.157, 3.158
  • Using experts to resolve disputes 3.85–3.92
    • appointing expert 3.86, 3.87
    • failure by party to cooperate with expert 3.91
    • independence and impartiality of expert 3.88
    • role of expert 3.89, 3.90
  • Video conference
  • Weighing probative value of expert report 6.55–6.61
  • Witness conferencing 8.68, 8.69
  • Witness intimidation 4.20
  • Witness statements 4.23–4.59
    • advantages 4.23–4.25
    • affirming legal pleadings of counsel 4.37
    • contents 4.31–4.44
    • corroborating evidence 4.38–4.40
    • cross–examination, and 4.49
    • customary practice 4.23
    • direct testimony, as 8.83
    • disclosure of relationship to party 4.32
    • disregarding 4.48–4.52
    • documents accompanying 4.38–4.41
    • duty to present for cross–examination 4.53–4.57
    • ethical issues for counsel 4.26, 4.27
    • evaluation of materiality 4.51
    • exceptional reasons for admitting testimony of non–attending witness 4.58, 4.59
    • first person narrative account 4.35
    • full description of facts 4.33–4.37
    • non–appearance, and 4.50
    • party’s right to withdraw 4.28
    • rebuttal 4.45–4.47
    • signature of witness 4.44
    • time frame for submitting 4.29, 4.30
    • time frame for submitting 4.29, 4.30
    • use of 4.23–4.30
    • valid reasons for non–attendance at hearing 4.52–4.57
    • witness affirmation 4.42, 4.43
  • Witnesses
  • Witnesses of fact 4.01–4.78
    • basic assumptions 4.01
    • broad definition 4.12
    • considerations prior to authorising court involvement 4.70–4.71
    • contacting adverse witnesses and ethical concerns 4.19–4.22
    • court’s assistance in taking testimony 4.68, 4.69
    • failure to call witness to hearing 4.60–4.62
    • failure to give notice of witness within specified time 4.05–4.07
    • identification 4.04–4.07
    • late evidence 4.06
    • legal obligations of confidentiality to a party 4.13, 4.14
    • non–cooperating 4.63–4.73
    • parties 4.08
    • persons interested in outcome of proceedings 4.10–4.12
    • preparing 4.15–4.22
      • differences of approach 4.15, 4.16
      • ethical considerations for counsel 4.18
      • transnational standard 4.17
    • probative value of proffered testimony 4.07
    • steps legally available to tribunal to obtain testimony 4.72, 4.73
    • tribunal not obliged to act 4.70–4.71
    • tribunal’s authority over taking of witness testimony 4.64–4.67
    • tribunal’s power to call 4.74–4.78
    • variations in practice 4.03
    • who may be a witness 4.08–4.14
    • witness intimidation 4.20
    • witness statements 4.23–4.59 see also Witness statements
    • witness with connection to party 4.09
    • written statement 4.02

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