Document Production under the IBA Rules on the Taking of Evidence in International Arbitration

88 Pages·2014·0.71 MB·English

Juho Kankkunen
013456081
Document Production under the IBA Rules on the Taking of
Evidence in International Arbitration
University of Helsinki
Faculty of Law
Master’s Thesis
Supervisor: Dan Frände
August 2014
HELSINGIN YLIOPISTO – HELSINGFORS UNIVERSITET – UNIVERSITY OF HELSINKI
Tiedekunta/Osasto – Fakultet/Sektion – Faculty/Section Laitos – Institution – Department
Tekijä – Författare – Author
Työn nimi – Arbetets titel – Title
Oppiaine – Läroämne – Subject
Työn laji – Arbetets art – Level Aika – Datum – Month and year Sivumäärä – Sidoantal – Number of pages
Tiivistelmä – Referat – Abstract
Avainsanat – Nyckelord – Keywords
Säilytyspaikka – Förvaringställe – Where deposited
Muita tietoja – Övriga uppgifter – Additional information
Table of Contents
Table of Contents .................................................................................................................................. I
Bibliography....................................................................................................................................... IV
1. Introduction .................................................................................................................................. 1
1.1. Topic and Methodology of this Thesis .................................................................................. 1
1.2. Research Questions and Structure ......................................................................................... 5
2. Framework of Document Production in International Arbitration .............................................. 6
2.1. A Look at the History of International Arbitration and the IBA Rules ................................. 6
2.1.1. From National Legislation towards Centralized Practice .............................................. 6
2.1.2. The New York Convention: Towards Harmonisation ................................................... 7
2.1.3. UNCITRAL Arbitration Rules, Model Law and Current Trend of Harmonisation ...... 8
2.1.4. International Bar Association and the Rules on the Taking of Evidence .................... 10
2.2. Basic Terminology of Document Production ...................................................................... 12
2.3. Definition of Documents ..................................................................................................... 13
2.4. Differences in Evidence Procedure between Civil and Common Law ............................... 15
2.4.1. General Differences between the Systems ................................................................... 15
2.4.2. Unifying the Two Systems ........................................................................................... 17
2.5. Lex Arbitri and the Choice of Procedural Law ................................................................... 18
3. The Duties and Powers of the Parties Regarding Document Production under the IBA Rules 21
3.1. The Principle of Party Autonomy ....................................................................................... 21
3.1.1. Party Autonomy in International Arbitration Procedure .............................................. 21
3.1.2. Party Autonomy in the IBA Rules ............................................................................... 23
3.2. The Duty to Act in Good Faith ............................................................................................ 24
3.3. Voluntary Production of Documents ................................................................................... 27
3.4. Requesting the Production of Documents ........................................................................... 30
3.4.1. Article 3.3 of the IBA Rules ........................................................................................ 30
I
3.4.2. Narrow and Specific Category of Documents ............................................................. 33
3.4.3. Relevance and Materiality ........................................................................................... 36
3.4.4. Possession, Custody and Control ................................................................................. 38
3.4.5. Time of Submitting a Request to Produce ................................................................... 39
3.4.6. Good Faith in Submitting Requests ............................................................................. 40
3.5. Objecting to a Request to Produce ...................................................................................... 41
3.5.1. General Objections ....................................................................................................... 41
3.5.2. Unreasonable Burden to Produce Requested Documents ............................................ 43
3.5.3. Loss or Destruction of Documents............................................................................... 44
3.5.4. Non-Existing Documents ............................................................................................. 44
3.5.5. Technical or Commercial Confidentiality and Political or Institutional Sensitivity .... 45
3.5.6. Legal Privilege ............................................................................................................. 46
3.5.7. Procedural Economy, Proportionality, Fairness and Equality ..................................... 48
3.5.8. Good Faith in Objecting to Requests to Produce ......................................................... 49
3.6. Electronic Production of Documents .................................................................................. 49
3.6.1. The Special Nature of Electronic Documents .............................................................. 49
3.6.2. Electronic Disclosure in the 2010 IBA Rules .............................................................. 52
4. The Powers of the Arbitral Tribunal under the IBA Rules ........................................................ 54
4.1. General Powers.................................................................................................................... 54
4.2. Document Disclosure Procedures ....................................................................................... 55
4.2.1. Preliminary Consultation ............................................................................................. 55
4.2.2. Assessing the Necessity of Requests to Produce ......................................................... 56
4.2.3. Documents in the Possession of Third Parties ............................................................. 60
4.3. Failure to Comply with Document Production Orders ....................................................... 62
4.3.1. Enforcing Production Orders ....................................................................................... 62
4.3.2. Adverse Inferences ....................................................................................................... 63
4.3.3. Breaches of the Duty to Act in Good Faith .................................................................. 68
II
5. Conclusions ................................................................................................................................ 70
III
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