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 Bibliography Ashford, Peter: Document Discovery and International Commercial Arbitration. In American Review of International Arbitration, Issue 17, 2006, p. 89-131 (Ashford 2006). Baum, Axel H.: International Arbitration: The Path toward Uniform Procedures. 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