Introduction
A case management conference (CMC) is a procedural meeting in international arbitration at which the tribunal and the parties organise the conduct of the proceedings — including the timetable, evidence, submissions and hearing arrangements. It is one of the most important early steps in any arbitration.
International arbitration is often chosen because it offers flexibility, neutrality and efficiency. However, these advantages do not arise automatically. Without active procedural management, arbitration can become as slow, costly and complicated as court litigation. The case management conference is one of the principal tools used to prevent this. It allows the arbitral tribunal and the parties to discuss, at an early stage, how the arbitration should be conducted and what procedural steps will be necessary.
While the case management conference sets the procedural roadmap of the arbitral proceedings, the procedure for convening it is usually prescribed by the applicable rules. For example, under the ICC Rules of Arbitration, the tribunal must hold a case management conference when drawing up the Terms of Reference or as soon as possible thereafter. The obligation is to confer with the parties on procedural measures that may be adopted for the conduct of the arbitration. During or shortly after the case management conference, the tribunal must establish the procedural timetable for the efficient conduct of the case.
What is a case management conference?
A CMC is a procedural meeting between the arbitral tribunal and the parties. It is not a hearing on the merits, nor is it intended to resolve any substantive issue in the dispute. Its function is organisational. The tribunal and the parties discuss how the arbitration will proceed, what procedural rules will apply, what deadlines should be fixed, and how evidence, submissions and hearings should be managed.
In practical terms, the case management conference is the moment when the arbitration is transformed from a general dispute into a structured procedural process. It provides the framework for the entire case. If not all procedural matters can be settled at the first conference, the remaining issues may be dealt with subsequently, either through a further case management conference or through written procedural directions.
The CMC may be held in person, by video conference or by another appropriate means of communication. Under the ICC Rules, if the parties do not agree on the format, the tribunal decides how the conference will be conducted. The tribunal may also invite the parties to submit case management proposals in advance and may request the attendance of party representatives, not just external counsel.
Why is it necessary?
The principal purpose of the CMC is to make the conduct of the arbitration efficient, fair and proportionate. Article 22(1) of the ICC Rules requires the tribunal and the parties to make every effort to conduct the arbitration in an expeditious and cost-effective manner, having regard to the complexity and value of the dispute. This matters because efficiency is not an abstract goal. A simple debt claim and a complex construction arbitration cannot be managed in the same way. The procedure must be proportionate to what is actually at stake.
A well-conducted CMC helps avoid procedural uncertainty. It clarifies the number and sequence of written submissions, the timetable for pleadings, whether document production will take place, whether witnesses and experts will be called upon, whether the case should be bifurcated, and whether an oral hearing will be necessary. It also gives the tribunal an early opportunity to understand the parties’ expectations and to prevent unnecessary procedural disputes from arising.
The CMC is also important from a tactical perspective. For example, a party that needs documents from the other side should raise document production early. A party that relies heavily on expert evidence should ensure that the timetable gives enough time for expert reports. A party that believes a preliminary issue may dispose of the case should consider asking for bifurcation or early determination of that issue. Where the tribunal sets or the parties agree procedural directions, but then a party wishes to add additional steps (e.g. exchange of expert reports) the Tribunal will have to be given very good reasons to allow such additional steps, especially where adding those steps might delay the final hearing.
When is the first case management conference held?
The first case management conference is usually held soon after the arbitral tribunal receives the case file (e.g. in ICC arbitration) or after exchange of pleadings (e.g. in LCIA arbitration). In ICC arbitration, it is linked to the Terms of Reference stage or must take place as soon as possible thereafter. In other institutional or ad hoc arbitrations, the timing may depend on the applicable rules, the tribunal’s practice and the parties’ agreement.
The first CMC in ICC arbitration normally takes place after the Request for Arbitration and Response have been filed, and following the tribunal’s constitution. At this stage, the tribunal has enough information to understand the nature of the dispute, but the proceedings are still early enough for procedural choices to make a meaningful difference.
Further CMCs may be held later in the arbitration. This may be useful after the first exchange of submissions, after document production, before the evidentiary hearing, or whenever the timetable needs to be adjusted. Under the ICC Rules, the tribunal may modify procedural measures or the timetable after consulting the parties, including through a further case management conference.
How should you prepare for a case management conference?
The case management conference should not be treated as a routine administrative call. Counsel should prepare for it carefully, because decisions made at this stage can shape the entire course of the arbitration.
First, counsel should review the arbitration agreement, the applicable institutional rules, the seat of arbitration and any mandatory procedural requirements.
Secondly, counsel should identify the client’s procedural objectives. The approach will differ depending on whether the client wants a fast and inexpensive process, a full evidentiary record, early settlement opportunities, or early determination of a decisive issue.
Thirdly, counsel should prepare a realistic procedural timetable. This requires checking the availability of the client, witnesses, experts and counsel. It is also important to consider the time needed for translations, document review, expert analysis and internal approvals.
Fourthly, counsel should try to confer with the opposing party before the CMC. In many arbitrations, the parties exchange drafts of Procedural Order No. 1 or competing procedural timetables. Points of agreement can then be presented to the tribunal, leaving only disputed issues to be resolved at the conference. This saves time and demonstrates procedural cooperation.
What issues are discussed at a case management conference?
The exact agenda depends on the case, but several issues commonly arise:
- Timetable: In practice, it is often the case that the tribunal asks the parties to liaise and try to agree on a procedural timetable prior to the CMC. If the parties are unable to reach full agreement, the tribunal will discuss the areas of divergence at the CMC and seek to bring the parties to an agreement. More specifically, the tribunal and parties decide when the statement of claim, statement of defence, reply and rejoinder will be filed. They may also determine whether there will be one or several rounds of written submissions.
- Document production: Arbitration does not usually involve broad discovery in the common law sense. Document production is generally more limited and focused. The parties may discuss whether document production is necessary at all, whether the IBA Rules on the Taking of Evidence should be used, whether a Redfern Schedule (a structured table used to organise and track document production requests, objections and tribunal decisions) will be adopted, and what limits should apply to requests.
- Witness and expert evidence: The parties may discuss whether witness statements will be exchanged, whether expert reports are required, whether experts will meet before the hearing, and whether witness conferencing or expert conferencing will be used.
- Bifurcation or early determination: Bifurcation is the division of proceedings into separate phases — for example, addressing jurisdiction or liability before quantum. If a jurisdictional objection, limitation issue or contractual interpretation point could dispose of the case, a party may ask the tribunal to address that issue first. This can save time and costs, but only where the preliminary issue is genuinely capable of narrowing or resolving the dispute.
- Hearing arrangements: The tribunal and parties may discuss whether the hearing will be in person, virtual or hybrid, how many days will be needed, whether opening submissions will be made orally or in writing, whether transcription and interpretation are required, and how hearing bundles will be prepared.
What are procedural orders and Terms of Reference?
The outcome of the CMC and the procedural matters addressed therein are typically reflected in a procedural document, most commonly the first procedural order (PO1), and, where applicable, in the Terms of Reference. While both documents are informed by discussions at the CMC, they do not serve the same purpose. Procedural orders record the agreed procedural framework for the arbitration, whereas the Terms of Reference define the scope of the dispute and the tribunal’s mandate. Their legal effect may therefore differ in certain respects.
Procedural orders usually record the basic procedural framework of the arbitration. A procedural order may address the applicable rules, language of the arbitration, seat, method of communication, format of written submissions, rules on evidence, document production procedure, confidentiality, hearing arrangements and the procedural calendar. A procedural order is not an award on the merits, but it is binding as a procedural direction. Parties should therefore treat it seriously. Failure to comply with procedural orders may lead to consequences including costs sanctions, exclusion of late evidence or adverse procedural inferences, depending on the circumstances and applicable rules. The procedural order is not prescribed by institutional rules – it is a practical tool used by tribunals to organise the proceedings as they see fit, and tribunals may issue multiple such orders throughout the arbitration as needed.
The Terms of Reference, on the other hand, define the scope of the dispute and record the tribunal’s mandate. In addition to recording relevant procedural matters, they provide a summary of the claims and relief sought, effectively making subsequent modifications to the relief sought more difficult to achieve. Their primary function is therefore jurisdictional and delimiting: they establish what the tribunal is empowered to decide. Certain institutions, such as the ICC, require that the Terms of Reference be established and signed by both the tribunal and the parties within a specific time period. In such cases, the Terms of Reference become a procedural step in themselves.
What practical strategies can be used for arbitration case management?
The case management conference is most useful when parties approach it with a clear strategy. If an important matter of principle or a large amount of money is at stake, a party may prefer a more detailed procedure. This may include broader document production, multiple rounds of submissions, expert evidence and a full evidentiary hearing.
By contrast, if the amount in dispute is modest or the issues are narrow, the parties may prefer a streamlined procedure. This may involve limited document production, shorter submissions, fewer witnesses, page limits, a documents-only procedure or a shorter hearing.
Where settlement is possible, the CMC can also be used to design a procedure that encourages resolution. For example, the parties may agree to decide a preliminary issue first, pause the arbitration for mediation, or structure the timetable so that key information is exchanged early.
Technology should also be addressed. The tribunal and parties should decide whether filings will be electronic, whether a shared platform will be used, how hearing bundles will be prepared, and whether the hearing can be conducted virtually. The ICC Rules expressly allow case management conferences to take place by video conference or similar means.
Client involvement may also be valuable. The ICC report on controlling time and costs notes that party representatives may play an active role in case management decisions where they attend the conference. This is sensible because many procedural choices involve cost-benefit assessments that counsel should not make in isolation.
Conclusion and key takeaways
- A case management conference is not a formality — it is where the procedural framework of the entire arbitration is decided.
- Preparation is critical: counsel should review the rules, understand the client’s objectives, and propose a realistic timetable.
- Procedural decisions taken at the CMC — on document production, evidence, bifurcation and hearing format — will shape the cost, duration and outcome of the arbitration.
- The procedural order and Terms of Reference issued after the conference are binding — parties must treat them seriously.
- Effective arbitration case management is a shared responsibility between the tribunal, counsel and the parties.
A case management conference is not a mere procedural formality. It is one of the most important stages in an arbitration because it determines how the dispute will actually be conducted. A well-prepared CMC can reduce delay, control costs, narrow the issues and make the proceedings more predictable.
For the parties, the key is preparation. Counsel should know the applicable rules, understand the client’s objectives, anticipate evidentiary needs, prepare a realistic timetable and identify which procedural measures will best serve the case. The procedural order and timetable issued after the CMC then become the roadmap for the arbitration.
Effective case management is therefore not solely the tribunal’s responsibility. It is a shared endeavour between the tribunal, counsel and the parties. When approached properly, the CMC helps ensure that arbitration delivers what parties usually expect from it: a fair, efficient and enforceable resolution of their dispute.
How Fortior Law can help
At Fortior Law, we regularly advise clients and co-counsel in international arbitration proceedings, including on procedural strategy and case management. Whether you are preparing for your first case management conference or managing a complex multi-party arbitration, our team can assist at every stage of the process. For further information or to discuss how we can support your arbitration, please contact us at info@fortiorlaw.com or via your usual contact at Fortior.
