Arbitration Evidence and Discovery in Arbitration 1 — Questions and Answers
Question 1: Under the Federal Arbitration Act (FAA), what is the arbitrator's authority regarding document production?
- Arbitrators have no authority to compel document production
- Arbitrators may summon witnesses and compel production of documents under Section 7 (Correct answer)
- Arbitrators must follow federal civil discovery rules exactly
- Arbitrators can only request documents voluntarily submitted
Correct answer: Arbitrators may summon witnesses and compel production of documents under Section 7
FAA Section 7 authorizes arbitrators to summon witnesses and compel the production of documents material to the dispute.
Question 2: Which evidentiary standard do most US arbitrators apply when deciding what evidence to admit?
- Strict Federal Rules of Evidence
- Only sworn affidavits are admissible
- A relevance and materiality standard with broad discretion (Correct answer)
- Only notarized documents are admissible
Correct answer: A relevance and materiality standard with broad discretion
US arbitrators typically apply a relevance and materiality standard, exercising broad discretion rather than strictly following the Federal Rules of Evidence.
Question 3: What is the IBA Rules on the Taking of Evidence in International Arbitration primarily designed to do?
- Replace domestic arbitration rules entirely
- Provide a framework balancing civil law and common law evidentiary approaches (Correct answer)
- Mandate jury-style evidence presentation
- Limit document production to witness statements only
Correct answer: Provide a framework balancing civil law and common law evidentiary approaches
The IBA Evidence Rules bridge civil law and common law traditions, offering a practical framework for international arbitral evidence-taking.
Question 4: Which concept limits the scope of document production requests in arbitration to avoid 'fishing expeditions'?
- Proportionality (Correct answer)
- Res judicata
- Forum non conveniens
- Collateral estoppel
Correct answer: Proportionality
Proportionality requires that document requests be balanced against their relevance, importance, and the burden of production.
Question 5: When a party withholds documents in arbitration on grounds of attorney-client privilege, what should the arbitrator do?
- Automatically admit all withheld documents
- Request a privilege log and rule on the claim (Correct answer)
- Dismiss the arbitration immediately
- Refer the matter to a federal court for resolution
Correct answer: Request a privilege log and rule on the claim
The arbitrator should require the withholding party to produce a privilege log describing the documents and rule on the privilege assertion.
Question 6: What is 'Redfern Schedule' used for in international arbitration?
- Scheduling hearing dates
- Organizing requests for document production and objections in a table format (Correct answer)
- Recording witness examination transcripts
- Filing arbitral awards with domestic courts
Correct answer: Organizing requests for document production and objections in a table format
A Redfern Schedule is a table used to organize document production requests, the requesting party's rationale, objections, and the tribunal's rulings.
Arbitration Evidence and Discovery in Arbitration 1
Under the Federal Arbitration Act (FAA), what is the arbitrator's authority regarding document production?