
Handbook of Evidence in International Commercial Arbitration
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Inhalt
- Intro
- Half-Title Page
- Title Page
- Copyright Page
- Editors
- Contributors
- Summary of Contents
- Table of Contents
- Preface
- Part I Introduction
- CHAPTER 1 Cultures and the Taking of Evidence
- §1.01 INTRODUCTION
- §1.02 COMMON LAW VERSUS CIVIL LAW GENERAL DIFFERENCES
- §1.03 THE ROLE OF THE JUDGE/ARBITRATOR/DECISION-MAKER
- §1.04 CASE PRESENTATION/SUBMISSIONS
- §1.05 THE COLLECTION AND PRESENTATION OF EVIDENCE
- §1.06 CONCLUSION
- CHAPTER 2 The Normative Framework on the Taking of Evidence
- §2.01 INTRODUCTION
- §2.02 GENERAL APPROACH
- §2.03 EVIDENTIARY QUESTIONS AS PART OF THE APPLICABLE PROCEDURAL LAW
- §2.04 MANDATORY PROVISIONS
- [A] Types of Mandatory Provisions
- [B] Right to Be Heard
- [C] Right to Equal Treatment
- [D] Additional Mandatory Provisions from the Lex Arbitri
- [E] Data Protection Rules
- [F] Mandatory Provisions of Third States
- §2.05 AGREEMENT BY THE PARTIES
- [A] Overview on the Existing Formats and Their Relationship
- [B] Individually Agreed Rules for Evidentiary Issues
- [C] Agreement on a General Set of Arbitration Rules
- §2.06 DEFAULT RULES OF THE Lex Arbitri
- §2.07 POST-AWARD STAGE AND INTERNATIONAL CONVENTIONS
- §2.08 CONCLUDING REMARKS
- CHAPTER 3 The Interplay Between the Post-award and the Pre-award Regimes with Respect to a Tribunal's Treatment of Evidentiary Issues
- §3.01 INTRODUCTION
- §3.02 EVIDENTIARY ISSUES IN THE NORMATIVE FRAMEWORK ON POST-AWARD RELIEF
- §3.03 EVIDENTIARY ISSUES AT THE PRE-AWARD STAGE DETERMINED BY THE POST-AWARD REGIME
- [A] The Right to Be Heard
- [1] The Right to Make Submissions and Evidentiary Offers
- [2] The Right to Comment on Submissions and Evidentiary Offers
- [3] The Right to Comment on Findings of the Arbitral Tribunal
- [4] The Arbitral Tribunal's Duty to Take Cognizance and Consider the Parties' Submissions and Evidentiary Offers
- [B] The Right to Be Treated Equally
- §3.04 CONCLUSION
- Part II Burden and Standard of Proof
- CHAPTER 4 Demystifying the Burden of Proof in International Arbitration
- §4.01 INTRODUCTION
- §4.02 THE FUNDAMENTAL PRINCIPLE AND A SUGGESTED FRAMEWORK
- [A] Onus Probandi Incumbit Actori
- [B] A Framework for the Burden of Proof
- [C] Presumptions
- [D] Forms of Evidence and Adverse Inferences
- §4.03 BURDEN OF PROOF AND APPLICABLE LAW: SUBSTANTIVE, PROCEDURAL OR NEITHER?
- §4.04 JUDICIAL REVIEW OF ARBITRAL BURDEN OF PROOF DETERMINATIONS
- §4.05 TRIBUNAL GUIDANCE ON BURDEN OF PROOF
- §4.06 CONCLUSION
- CHAPTER 5 Standard of Proof in International Commercial Arbitration
- §5.01 INTRODUCTION
- §5.02 WHAT IS THE STANDARD OF PROOF?
- [A] The Burden and Standard of Proof
- [B] Standard of Proof in the Common Law Tradition
- [C] Standard of Proof in the Civil Law Tradition
- §5.03 HOW IS STANDARD OF PROOF DETERMINED?
- [A] Arbitration Laws and Rules
- [B] Commentary
- [C] Arbitral Practice
- §5.04 STANDARD OF PROOF IN SPECIAL CIRCUMSTANCES
- [A] Interim Measures
- [B] Quantification of Loss
- [C] Illegality
- [1] Arbitral Practice
- [2] Commentary
- [D] Sports Arbitration
- §5.05 CONCLUSION
- CHAPTER 6 Iura Novit Curia
- §6.01 INTRODUCTION
- §6.02 SPECIFICALLY ON THE TRIBUNAL'S POWERS
- [A] Party's Default
- [B] Adverse Inferences
- [C] Requesting Additional Information
- [D] Burden of Proof
- [E] Fair Hearing
- §6.03 VALIDITY AND ENFORCEMENT OF THE AWARD
- [A] Excess of Power
- [B] Impartiality
- [C] Right to Be Heard
- [D] Procedural Irregularity
- §6.04 TRIBUNAL'S OWN INITIATIVE TO PREVENT INVALID OR UNENFORCEABLE AWARDS
- [A] Corruption, Economic Crime, and Violation of Human Rights
- [B] Corruption: Can the Tribunal's Power Override the Parties' Agreement?
- §6.05 AN EMERGING TREND: DEMYTHOLOGIZING THE COMMON LAW/CIVIL LAW DIVIDE
- §6.06 CONCLUSION
- Part III Means of Evidence
- CHAPTER 7 Documentary Evidence
- §7.01 INTRODUCTION
- §7.02 LEGAL FRAMEWORK
- §7.03 DEFINITION OF A DOCUMENT'
- §7.04 CATEGORIES OF DOCUMENTS IN INTERNATIONAL ARBITRATION
- §7.05 DOCUMENTS RELIED ON BY THE PARTIES
- §7.06 DOCUMENT PRODUCTION IN INTERNATIONAL ARBITRATION
- [A] The IBA Regime for Production of Documents
- [B] Party Right to Deliver a Request to Produce Documents
- [C] Timing of a Request to Produce
- [D] The Content of a Request to Produce
- [1] Introduction and Overview
- [2] Description of the Document
- [E] Documents Maintained in Electronic Form
- [F] Statement of Relevance and Materiality
- [1] Introduction
- [2] Relevance and Materiality under the IBA Rules: What Does It Mean?
- [a] Relevance Versus Materiality
- [b] Relevant to the Case
- [c] Material to Outcome of the Case
- [G] Statement That Documents Are Not in Possession, Custody or Control of the Requesting Party
- [H] Statement of Reasons Why the Requesting Party Assumes That the Documents Are in the Possession, Custody or Control of Another Party
- [I] The Use of Redfern Schedules for Requests to Produce
- §7.07 OBJECTIONS TO PRODUCTION
- [A] Formal Objections Citing Non-compliance with Article 3.3 of the IBA Rules
- [B] Objections under Article 9.2 and 9.3 of the IBA Rules
- §7.08 SOME GENERAL ISSUES REGARDING DOCUMENTS
- [A] Conformity of Copy with the Original and Obligation to Present Original for Inspection
- [B] Multiple Identical Copies
- CHAPTER 8 Party-Appointed Experts in International Commercial Arbitration: A Necessity or a Nuisance?
- §8.01 PROLOGUE: THE NEED FOR PARTY-APPOINTED EXPERTS IN INTERNATIONAL ARBITRATION
- §8.02 CATEGORIES OF PARTY-APPOINTED EXPERTS
- §8.03 PROCESS OF APPOINTING EXPERTS
- [A] Appointment of Experts
- [B] Experts' Mandate and Engagement
- [1] The Pre-hearing Phase
- [2] The Hearing
- [a] Direct Examination
- [b] Re-examination
- [3] The Post-hearing Phase
- §8.04 RIGHTS AND OBLIGATIONS OF PARTY-APPOINTED EXPERTS
- [A] Rights of Party-Appointed Experts
- [B] Obligations of Party-Appointed Experts
- §8.05 REQUIREMENTS OF INDEPENDENCE AND IMPARTIALITY OF PARTY-APPOINTED EXPERTS IN COMPARISON TO TRIBUNAL-APPOINTED EXPERTS
- §8.06 VALUE OF PARTY-APPOINTED EXPERT REPORTS
- §8.07 ARBITRAL TRIBUNAL'S ASSESSMENT AND DETERMINATION OF EXPERT EVIDENCE
- §8.08 EXCLUSION OF PARTY-APPOINTED EXPERTS
- [A] Failure to Appear
- [B] Lack of Independence or Qualification
- [C] Conflict of Interest with a Tribunal Member
- [D] Knowledge of Confidential Information or Trade Secrets of the Counterparty
- §8.09 CROSS-EXAMINATION OF PARTY-APPOINTED EXPERTS
- [A] The Gist of Cross-Examination
- [B] Scope of Cross-Examination
- [1] Areas for Attacking the Expert
- [2] Areas for Seeking Agreement
- [C] Cross-Examination Techniques
- §8.10 EXPERT CONFERENCING AS A TOOL TO ASSESS AND WEIGH EXPERT EVIDENCE
- §8.11 EPILOGUE: CONCLUDING REMARKS
- CHAPTER 9 Tribunal-Appointed Experts in International Arbitration
- 9.01 Introduction
- 9.02 Overview of Tribunal-Appointed Experts in International Arbitration
- §9.03 THE CASE FOR USING TRIBUNAL-APPOINTED EXPERTS
- §9.04 WHERE TRIBUNAL-APPOINTED EXPERTS ARE NOT APPROPRIATE
- §9.05 PRACTICAL ISSUES ARISING FROM THE APPOINTMENT AND USE OF TRIBUNAL-APPOINTED EXPERTS
- [A] The Arbitral Tribunal's Power to Appoint One or More Experts
- [B] The Selection Process
- [C] The Parties' Right to Challenge Appointments
- [D] Rights and Powers of Tribunal-Appointed Experts
- [E] Presentation of the Expert's Findings
- [F] The Parties' Right to Respond to and Examine the Expert
- §9.06 CONCLUSION
- CHAPTER 10 Witnesses
- §10.01 SIGNIFICANCE OF WITNESS EVIDENCE
- §10.02 THE FALLIBILITY OF WITNESS MEMORY
- §10.03 PERSONS ELIGIBLE AS WITNESSES
- §10.04 MEANS OF OFFERING WITNESS EVIDENCE
- §10.05 WITNESS STATEMENTS
- [A] Are Witness Statements Necessary?
- [B] When to File Witness Statements
- [C] Elements of a Witness Statement
- [D] Level of Detail of Witness Statements
- [E] Who Drafts the Witness Statement?
- [F] Attaching Documents to Witness Statements
- §10.06 WITNESS PREPARATION
- [A] Witness Familiarization Versus Witness Preparation
- [B] Legal Considerations
- [C] Purposes of Witness Familiarization and Preparation
- [D] Methods of Preparing Witnesses
- [E] Useful Guidelines for Witnesses During Cross-Examination
- [1] Listening to the Question Carefully and Taking Your Time When Answering
- [2] Asking for Clarifications Where Necessary
- [3] Asking for Documents
- [4] Avoiding Speculations
- §10.07 CALLING FACT WITNESSES
- CHAPTER 11 Hearing
- §11.01 PHYSICAL HEARINGS AND PROCEDURAL PROTECTIONS
- [A] The Conduct of a Hearing
- [1] Whether to Conduct an Oral Hearing
- [2] Pre-hearing Considerations
- [3] The Structure of an Oral Hearing
- [4] The Tribunal's Conduct of Oral Hearings
- [B] Physical Hearing
- [1] Advantages and Disadvantages of Physical Hearings
- [2] Organisation of Physical Hearings
- [C] Procedural Protections for a Hearing
- [1] The Right to Be Heard
- [2] The Right to Equal Treatment
- [D] Issues that Implicate the Right to Be Heard and the Right to Equal Treatment
- [1] Time Allocation in the Hearing
- [2] Hearing of Evidence
- [3] Witnesses
- [4] Decision-Making
- §11.02 VIRTUAL HEARINGS AND EVIDENTIAL ISSUES
- [A] The Rise of Virtual Hearings
- [B] Is There a Right to a Physical Hearing?
- [C] Conduct of a Virtual Hearing
- [1] Virtual Hearing Protocol
- [2] Pre-hearing Preparations
- [D] Cross-Examination of Witnesses and Experts
- [1] Cross-Examination of Witnesses
- [2] Rethinking Witness Evidence Procedure
- [3] Expert Witness
- [4] Hot-Tubbing
- [5] Witness Coaching
- [E] Opportunity to Rethink Formulaic Practices
- [1] Fairness Versus Efficiency
- [2] Benefits of Virtual Hearings
- [3] Challenges of Virtual Hearings
- [F] Future of Virtual Hearings
- Part IV Admissibility of Evidence
- CHAPTER 12 Admissibility Issues Related to the Origin of the Evidence
- §12.01 THE ORIGIN OF EVIDENCE: AUTHENTICITY
- [A] Determining Authenticity: The Procedural Framework
- [B] Particular Issues Concerning Authenticity
- [1] Forgery
- [2] Copies of Documents: Including in Email Chains and Texts
- §12.02 IMPROPERLY OBTAINED EVIDENCE
- [A] Exclusionary Versus Inclusionary Approaches
- [B] Purloined or Hacked Documents
- [C] Wiretapping or Eavesdropping
- [D] Violation of Confidentiality Agreements
- §12.03 THE TREATMENT OF SECOND-HAND (OR HEARSAY') EVIDENCE
- [A] Whether to Exclude Second-Hand Evidence, or Treat It as Going to 'Weight'
- [B] Particular Issues Concerning Second-Hand Evidence
- [1] Traditional Business Records and 'Hearsay Within Hearsay'
- [2] Documents Obtained from the Internet
- [C] Official Certificates
- [D] Testimony Obtained in Prior Proceedings
- CHAPTER 13 Evidentiary Privileges
- §13.01 INTRODUCTION
- §13.02 TYPES OF PRIVILEGES RELEVANT IN INTERNATIONAL ARBITRATION
- [A] Attorney-Client Privilege
- [B] Business Secrets Privilege
- [C] 'Without Prejudice' Privilege and Mediation Privilege
- [D] Government Information Privilege
- §13.03 DETERMINING THE LAW APPLICABLE TO PRIVILEGES
- [A] The Problem: Silence of Arbitration Laws and Rules
- [B] The Conflict of Laws Rule
- [1] Choice of Law by the Parties
- [2] The 'Closest Connection Test'
- §13.04 ARTICLE 9.4(E) OF THE IBA RULES: MAINTAINING FAIRNESS AND EQUALITY IN THE APPLICATION OF PRIVILEGES WITH DIFFERENT PROTECTION STANDARDS
- §13.05 CONCLUSION
- CHAPTER 14 Confidentiality, Privacy and Data Protection in International Commercial Arbitration
- §14.01 INTRODUCTION
- §14.02 THE CASE FOR CONFIDENTIALITY
- §14.03 DEFINING AND DEALING WITH CONFIDENTIALITY
- §14.04 CONFIDENTIALITY, PRIVACY AND DATA PROTECTION
- [A] Privacy
- [B] Privacy Versus Confidentiality
- [C] Data Protection
- §14.05 DEFINING PERSONAL DATA
- [A] Australia
- [B] The United States
- [C] Australia, Singapore, the United States and the EU Compared
- §14.06 CONSENT
- §14.07 CONCLUSION
- Part V Assessment of Evidence
- CHAPTER 15 Assessing the Probative Value of Evidence
- §15.01 HOW ARBITRATORS THINK
- [A] Universal Concerns
- [1] Search for the Truth
- [2] Fairness and the Integrity of the Proceedings
- [3] Protecting the Award and Avoiding Subsequent Challenges
- [B] Legal Traditions May Affect Probative Value Accorded to Evidence
- [C] Conscious and Unconscious Bias in Arbitrators
- §15.02 TRIBUNALS ENJOY BROAD AUTHORITY TO DETERMINE THE PROBATIVE VALUE OF EVIDENCE
- [A] Arbitration Rules
- [B] National Laws
- [C] UNCITRAL Model Law (Article 19(2) and Its Legislative History)
- [D] Party Autonomy
- §15.03 GUIDANCE FOR ARBITRATORS IN ASSESSING THE WEIGHT OF EVIDENCE
- [A] Soft Law/International Practice and Procedure
- [B] Mandatory Norms
- §15.04 FACTORS THAT MAY IMPACT THE WEIGHT GIVEN TO EVIDENCE
- [A] Types of Evidence
- [1] Direct Versus Indirect Evidence
- [2] Contemporaneous Documents Versus Testimonial Evidence
- [3] Tested Versus Untested Testimonial Evidence
- [B] Common Principles
- [C] Documentary Evidence
- [D] Witness Testimony
- [E] Witness Memory
- §15.05 FINALITY OF THE TRIBUNAL'S ASSESSMENT OF EVIDENCE
- [A] United States
- [B] England
- [C] France
- [D] Switzerland
- CHAPTER 16 Adverse Inferences
- §16.01 INTRODUCTION
- §16.02 ADVERSE INFERENCES' THREE MAIN FUNCTIONS
- [A] Levelling the Playing Field
- [B] Improving Decisions by Supporting Arbitrators' Fact-Finding Discretion
- [C] Substituting for Direct Evidence
- [1] The Party Requesting an Adverse Inference Must Produce All Evidence Accessible to It Corroborating the Inference Sought
- [2] The Party Requesting the Adverse Inference Must Establish That the Requested Party Has, or Should Have, Access to the Evidence Sought
- [3] The Inference Sought Must Be Reasonable, Consistent with Facts in the Record, and Logically Related to the Probable Nature of the Evidence Withheld
- [a] Inferences Must Be Reasonable
- [b] The Inference Requested Must Be Consistent with Facts in the Record
- [c] The Requesting Party Must Establish a Logical Connection Between the Likely Nature of the Evidence Withheld and the Inference Sought
- [4] The Party Seeking the Adverse Inference Must Produce Prima Facie Evidence
- [5] The Tribunal Should Afford the Requested Party Sufficient Opportunity to Produce Evidence Prior to Drawing Adverse Inferences Against It
- §16.03 CONCLUSION
- Part VI Enforcement and Sanctions
- CHAPTER 17 National Court Assistance in the Taking of Evidence in Support of Commercial Arbitral Proceedings
- §17.01 INTRODUCTION
- §17.02 NATIONAL SYSTEMS GIVING COURTS POWER TO ASSIST IN GATHERING EVIDENCE FOR COMMERCIAL ARBITRATIONS
- [A] England, Wales and Northern Ireland
- [1] Section 43
- [2] Section 44
- [B] United States
- [1] The US FAA
- [2] Section 1782
- [C] The UNCITRAL Model Law on ICA
- [D] Germany
- [E] Hong Kong
- [1] Section 45: Interim Measures
- [2] Section 55: Assistance in the Taking of Evidence
- [3] Section 60: Inspection, Photographing and Protection of Property
- [F] Singapore
- [1] IAA, Section 12A: Interim Measures
- [2] IAA, Section 13: Subpoenas
- [3] Model Law Article 27 and Singapore Rules of Court 2021, Order 9, Rule 24: Pretrial Examinations
- [G] Party Autonomy and the IBA Rules on the Taking of Evidence
- §17.03 CONCLUSION
- CHAPTER 18 Costs and Other Sanctions
- §18.01 INTRODUCTION
- §18.02 PRELIMINARY OBSERVATIONS
- [A] Scope and Terminology
- [B] The Characterisation of Sanctions and Their Impact
- §18.03 EXAMPLES OF CONDUCT JUSTIFYING SANCTION
- [A] Refusal to Produce Evidence
- [B] Delay Tactics
- [C] Guerrilla Tactics
- §18.04 AUTHORITY TO IMPOSE SANCTIONS
- [A] Express Powers to Sanction Conduct with Respect to Evidence
- [1] The Arbitration Agreement
- [2] Institutional Arbitration Rules and Guidelines
- [3] The Arbitration Law at the Seat of Arbitration
- [B] Inherent Authority
- §18.05 SANCTIONS
- [A] Sanctioning Parties
- [1] Monetary Sanctions
- [a] Cost Allocation
- [b] Beyond Cost Allocation
- [2] Non-monetary Sanctions
- [a] Default Judgment
- [b] Measures Aimed at Preventing Future Harm
- [B] Sanctioning Counsel
- [1] Monetary Sanctions
- [2] Exclusion of Counsel from the Arbitration
- [3] Notifications to Bar Association or Arbitral Institution
- [C] A Final Note on Sanctioning Arbitrators
- §18.06 CONCLUSION
- Index
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