Law and practice of international commercial arbitration:
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| Hauptverfasser: | , |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
London
Sweet & Maxwell
2005
|
| Ausgabe: | 4. ed., repr. |
| Schlagworte: | |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | LVI, 661 S. |
| ISBN: | 0421862408 9780421862401 |
Internformat
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Datensatz im Suchindex
| _version_ | 1804137400570478592 |
|---|---|
| adam_text | TABLE
OF
CONTENTS
Page
Preface
v
Acknowledgments
¡χ
Abbreviations
χχν
Table of Cases
xxviii
Table of Arbitration Awards
xxxvi
Table of Statutes
xlii
Table of Major Arbitration Conventions
xlvi
Table of International Arbitration Rules I
Table of Civil Codes
liv
Table of Treaties
lv
Tables of Directives, European Regulations and Civil Procedure Rules
lvi
Chapter
1—
Introduction Para.
1.
Key Elements of International Arbitration
(a) Generally
1-01
(b) A brief historical overview
1-03
(c) Significant features of arbitration
1-07
The agreement to arbitrate
1-08
The importance of the arbitration agreement
1-11
Enforcement of the arbitration agreement
1 — 12
Powers conferred bx the arbitration agreement
1 — 13
The choice of arbitrators
1-14
The decision of the arbitral tribunal
1-16
The enforcement of the award
1-18
Summary
1-19
(d) The meaning of international
1-20
International and domestic arbitrations contrasted
1-21
(e) The relevant criteria
1-24
The international nature of the dispute
1-25
The nationality of the parties
1-27
The Model Law criteria: a combined approach
1-29
(f) The meaning of commercial
1-31
(g) Anatomy of a simple arbitration clause
1-34
Arbitrability
1-35
Is there any need for a dispute?
1-36
Existing and future disputes
1-37
Arising out of or in connection with this agreement
1-38
Shall be referred to and determined by arbitration
1-39
xi
Table
of Contents
Other matters
1-40
2.
Why Arbitrate?
(a) The principle reasons
1^1
A choice of a neutral forum and a neutral tribunal
1-42
An enforceable decision
1-43
(b) Subsidiary reasons
1-44
(c) Perceived disadvantages of arbitration
1—45
Costs
1^6
Limited powers of arbitrators
1—47
No joinder of parties
1-48
Conflicting awards
1—49
International arbitration or national litigation?
1-50
(d) Confidentiality
1-53
The Classical Position
1-55
The current trend
1—56
The award
1-58
Confidentiality in investor/state arbitrations
1-61
Revisions to rules of arbitration
1-64
LCIA Rules
1-65
The WIPO Arbitration Rules
1-66
Conclusion
1-68
(e) Alternative Dispute Resolution
Introduction
1-69
What is meant by ADR?
1-71
How does ADR work?
1-73
Mediation
1-74
Conciliation
1-75
The UNCITRAL Conciliation Rules
1-76
The UNCITRAL Model Law on Conciliation
1-79
Dispute Resolution Centres
1-80
Mini-trial
1-81
Mediation/Arbitration (Med/Arb.)
1-82
The neutral listener agreement
1-83
Last offer or baseball arbitration
1-84
Court-annexed ADR
1-85
Expert Determination (including adjudication and Dispute Review
Boards)
1-87
The enforceability of agreements for expert determination
1-90
Why has ADR developed as it has?
Business and cultural considerations
1-91
ADR—future perspectives
1-93
The need for judicial control
1-94
ADR and Arbitration combined
1-95
Amiable
compositeur,
equity clauses, ex aqueo
et bono
1-96
3.
What Kind of Arbitration?
(a) Introduction
1-97
(b) Institutional and ad hoc arbitration
1-99
(c) Institutional arbitration
—
advantages and disadvantages
1-100
Advantages
1-102
Disadvantages
1-103
(d) Ad hoc arbitration
—
advantages and disadvantages
Advantages
1-104
Disadvantages
1-107
(e) Arbitral Institutions
1-108
xii
Table
of Contents
What to look for in an arbitral institution
1-109
A degree of permanency
1-110
Modern rules of arbitration
1-111
Qualified staff
1-112
Reasonable charges
1-113
Some well known institutions
The International Chamber of Commerce
1-114
The LCIA
1-117
The American Arbitration Association
1-118
The WIPO Arbitration Centre
1-119
Domain names
1 — 120
(f) Arbitrations involving a state or state entity
1-121
1CSID
1-123
ICSID
—
an international institution
1-126
1CSID s Additional Facility
1-128
The Permanent Court of Arbitration ( the PCA )
1-129
Claims Commissions and Tribunals
1-130
(a) The Iran-United States Claims Tribunal
1-131
(b) The United Nations Compensation Commission
1-132
(c) The Holocaust Tribunals
1-133
Regulation of International Arbitration
(a) Generally
1-134
(b) The role of national law
1-138
State participation in the arbitral process
1-139
(c) The role of international conventions and the Model Law
1-141
Bilateral Investment Treaties
1-142
International Conventions generally
1-144
The Geneva Protocol of
1923 1-145
The Geneva Convention of
1927 1-146
The New York Convention of
1958 1-147
Conventions after
1958 1-149
Regional conventions
1-150
The Model Law
1-151
(d) Practice
—
national or international
1-152
How procedure is determined
1-154
Summary
1-158
Chapter
г
—
Applicable Laws
1.
Introduction
(a) Generally
2-01
(b) No legal vacuum
2-02
(c) A
complex interaction of laws
2-04
2.
The Law Governing the Arbitration
(a) Introduction
2-05
(b) What is the lex
arbitri?
2-08
(c)
The content of the lex
arbitri
2-09
(d)
Procedural rules and lex
arbitri
2-12
(e)
The seat theory
2-14
(0
Is the lex
arbitri a
procedural law?
2-19
(g) Choice of a foreign procedural law
2-20
(h) Where an award is made
2-22
(i) De-localisation
2-25
xiii
Table
of Contents
The arguments considered -~-
The position in reality
2-28
(j) The seat theory and lex
arbitri
2-29
3.
The Law Applicable to the Substance
(a) Generally
2-31
Crossing national frontiers
2-33
(b) The autonomy of the parties
2-34
Recognition by international conventions
2-35
Time of choice
_—36
Restrictions on party autonomy
2-37
The choices
2-38
(c) National law
2^-0
Choice of a system of national law
2—41
Precluding unfair treatment 2-Ai
Stabilisation
clauses
1-ЛА
Summary
2—45
(d) Public International Law and General Principles of Law
2-46
(e) Concurrent laws, combined laws and the
tronc commum
doctrine
2-48
The Libyan oil nationalisation arbitrations
2-50
(f) Transnational law (including Lex Mercatoria; the UNIDROIT
Principles; the Shari ah; international development law and trade
usages)
Introduction
2—57
The lex mercatoria
2-59
The list method
2-61
The functional method
2-62
UNIDROIT Principles
2-65
The Shari ah
2-67
International Development Law
2—68
Trade usages
2—70
Authority
lo
apply non-national law
2-71
(g) Equity and good conscience
2-73
4.
Conflict Rules and the Search for Applicable Law
(a) Generally
2-75
(b) Implied or tacit choice
2-76
Choice of forum as choice of law
2-78
(c) Conflict rules
2-79
Does an international arbitral tribunal have a lex
fori?
2-80
International conventions, rules of arbitration and national laws
2-82
(d) Conclusion
2-84
5.
The Law Governing the Agreement to Arbitrate
2-85
(a) Summary
2-93
Chapter
3—
Arbitration Clauses and Submission Agreements
1.
Background
(a) Generally
3-01
(b) Categories of arbitration agreements 3_02
(c) International conventions
The Geneva Treaties
3-04
(d) International standards
3-05
2.
The Validity of an Arbitration Agreement
(a) Formal validity
—
the need for writing 3_O7
xiv
Table
of
Contents
(b)
A
defined legal relationship
3-Ю
(c)
Arbitrability
3-12
Patents, Trademarks and Copyrights
3-15
Antitrust and competition laws
3-16
Securities transactions
3-19
Bribery· and corruption
3-20
Fraud
3-23
The Parties to an Arbitration Agreement
(a) Capacity
3-25
Natural persons
3-26
Corporations
3-27
States and State Agencies
3-28
(b) Third parties to the arbitration agreement
3-30
Piercing the corporate veil within groups of companies
3—31
Assignment, agency and succession
Assignment
3-34
Arbitration Agreements concluded by Agents
3-35
Succession and Novation
3-36
Analysis of an Arbitration Agreement
(a) Scope
3-37
Forms of Wording
3—38
(b) Basic Elements
3—42
A valid arbitration agreement
3^5
The number of arbitrators
3—46
Establishment of the arbitral tribunal
3—17
Ad hoc or institutional arbitration
3-48
Filling vacancies in the tribunal
3^49
Place of arbitration
3-51
Governing law
3-52
Default clauses
3-53
Language
3-54
Entry of judgment and rule of court clauses
3—55
Other procedural matters
3-56
(c) Submission agreements
Generally
3-57
Drafting a submission agreement
3—58
An illustration
3-59
(d) Separability
3-60
(e) Summary
3-65
Defective Arbitration Clauses
3-67
(a) Inconsistency
3-68
(b) Uncertainty
3-69
(c) Inoperability
3-71
(d) Repudiation and waiver of arbitration agreements
3-72
Multi-Party Arbitrations
(a) Generally
3-73
Several parties to one contract
3-74
Several contracts with different parties
3-77
(b) String Arbitrations
3-80
(c) Concurrent Hearings
3-81
(d) Court ordered consolidation
3-82
(e) Consolidation by consent
Under an arbitration agreement
3-84
Under institutional rules
3-85
xv
Table
of Contents
Chapter
4—
The Establishment and Organisation of an Arbitral Tribunal
1.
Background
(a) Generally
4-01
(b) Commencement of an arbitration
4—03
Time-limits
4-04
Statutory time-limits
4-05
Contractual time-limits
4—07
(c) Commencement of an arbitration under the applicable law
4-09
(d) Commencement of an arbitration under institutional rules
4-10
(e) Selecting an arbitral tribunal
4—12
(f) Sole arbitrators and multi-arbitrator tribunal
4—14
Sole arbitrators
4-15
Two arbitrators
4-16
Three arbitrators
4-17
Four or more arbitrators
4-19
2.
Appointment of Arbitrators
(a) Generally
4-21
(b) Agreement of the parties
4—22
(c) Arbitral institution
4-25
(d) List system
4-26
(e) Existing arbitrators
4-28
(f) Professional institution
4-29
(g) Trade association
4-30
Designation by the Secretary-General of the PCA
4—36
3.
Qualities Required in International Arbitrators
(a) Generally
4-39
(b) Restrictions imposed by the parties
4—40
(c) Restrictions imposed by the applicable law
4—41
(d) Professional qualifications
4-42
Sole arbitrator
Ą-A3
Three arbitrators
4—44
(a) Language
4-45
(b) Experience and outlook
(c) Education and training
(d) Interviewing prospective arbitrators
4-50
4.
Impartiality and Independence of Arbitrators
(a) Generally 4_52
(b) Independence and/or Impartiality
4-54
Impartiality distinguished from neutrality
4—56
Nationality
4—58
(c) Disclosure
4—61
Governmental agencies
4-65
(d) Communication with the parties
4-66
5.
Challenge and Replacement of Arbitrators
(a) Generally 4_67
(b) Grounds for challenge 4_68
(c) Procedure for challenge 4_72
Challenges under the ICSID Rules
4-74
(d) Waiver 4_76
(e) Filling a vacancy 4_78
(f) Truncated tribunals 4_79
(g) Procedure following the filling of a vacancy
4-82
Transcripts
4—83
xvi
Table
of Contents
(h)
Insuring against a vacancy 4_85
6.
The Organisation of the Arbitral Tribunal
(a) Generally 4_86
(b) Meetings and hearings 4_87
Meetings and hearings at which the parties are present
4—88
Fixing dates for hearings
4-89
Avoiding local public holidays
4—90
Length of hearing
4—91
(c) Administrative aspects
4-94
Arbitration centres
4-96
Arbitral institutions
4-97
Universities, clubs and other institutions
4-98
Hotels
4-99
Interpreters
4—100
Verbatim records
4-101
Hearing hours
4-103
Relations between the parties and the arbitral tribunal
4—106
Functions of the presiding arbitrator
4—107
(d) The role of an administrative secretary or registrar
4-108
Institutional arbitrations
4-109
Who to appoint
4-110
7.
Fees and Expenses of the Arbitral Tribunal
4—113
(a) Who fixes fees
4-114
(b) Commitment or cancellation fees
4-115
(c) Methods of assessing fees
4—117
The ad valorem method
4—118
The time spent method
4—119
The fixed fee method
4-120
(d) Negotiating arbitrators fees
4-121
(e) Expenses of the arbitral tribunal
4-122
The reimbursement method
4-123
The per diem method
4-124
The 1CS1D method
4-125
(f) Securing payment of the fees and expenses of the arbitral tribunal
4-126
Chapter
5—
Powers, Duties and Jurisdiction of an Arbitral Tribunal
1.
Background
(a) Generally
5-01
(b) Practical considerations
5-02
2.
Powers of Arbitrators
(a) Generally
5-03
(b) Powers conferred by the parties
5-04
Directly
5-05
Indirectly
5-06
(c) Powers conferred by operation of law
5-07
3.
Duties of Arbitrators
(a) Generally
5-11
(b) Duties imposed by the parties
5-12
(c) Duties imposed by law
5-14
Duty to act with due care
5-15
Duty to act with due diligence
5-23
Duty to act judicially
5-24
xvii
Table
of Contents
(d)
Ethical duties 5~27
4.
Jurisdiction
(a) Generally
5-30
(b) Challenges to jurisdiction
5-31
Partial challenge
5-32
Total challenge
5-35
(c) The autonomy (or separability) of the arbitration clause
5-36
Who judges?
5-38
Competence/Competence
5-39
Competence
5—43
Limitations on jurisdiction
5-44
Award made without jurisdiction
5—45
(d) Court control
5-46
Concurrent control
5—47
The choices open to the arbitral tribunal
5—48
(e) Procedural aspects of resolving issues of jurisdiction
5-52
The time at which issues of jurisdiction should be raised
5-53
(f) Options open to the respondent
5-54
Boycott the arbitration
5-55
Raise objections with the arbitral tribunal
5-56
Application to a national court
5-57
Attacking the award
5-59
The combined approach
5-60
Form of court intervention
5-61
(g) International agreements on the jurisdiction of national courts
5-62
Chapter
6—
The Conduct of the Proceedings
2.
Background
(a) Generally
6-01
(b) Party autonomy
6-03
(c) Restrictions on party autonomy
6-05
Equality
6-06
Public policy
6-07
Arbitration rules
6-08
Third parties
6-09
(d) Adversarial and inquisitorial processes
6-10
Choice of the Place of Arbitration
(a) Generally
6-12
(b) The law governing the arbitration
6-14
The lex
arbitri
6-17
Local restrictions on arbitrators and party representatives
6-18
Ethical and other duties
6-19
(c) Enforceability
6-21
(d) Meetings need not all be held at the seat of arbitration
6-23
(e) Where should as award be made ?
6-24
(f) Changing the seat of arbitration
6-25
Agreement inoperative or incapable of being performed
6-26
Preliminary steps
(a) Generally
6-27
Conduct of preliminary meetings
6-29
Representation at preliminary meetings
6-29
Adjournment of preliminary meetings
6-30
XVIII
Table
of Contents
Matters to be determined at preliminary meetings
6-31
UNCITRAL Notes on Organizing Arbitral Proceedings
6-32
(b) Other preliminary issues
6-33
Applicable laws
6-34
Separation of liability and quantum
6-35
Separation and other issues
6-37
(c) Expedited remedies
6-39
Pre-arbitral referee
6-40
Expedited formation of the arbitral tribunal
6-42
Fast track arbitrations
6-43
(d) Avoiding delay and disruption
6-46
Special procedures in small cases
6-47
4.
Written Submissions
(a) Generally
6-48
The function of written submissions
6-49
The need to avoid ambiguity
6-51
(b) Written pleadings in institutional arbitration
6-52
Definition of the issues
6-55
Terminology
6-56
Time-limits
6-58
Admissibility of counterclaims
6-59
5.
Evidence
(a) Generally
6-61
Common and civil law procedures
6-62
Admissibility
6-65
Burden of proof
6-67
Methods of presenting evidence
6-68
(b) Production of documents
6-69
Favourable and unfavourable documents
6-70
Common law practice
6-71
Civil law practice
6-73
Practice in international arbitrations
6-74
Disputed document requests
6-76
Documents in the possession of third parties
6-79
Presentation of documents
6-80
Translations
6-82
(c) Testimony of witnesses
6-83
Presentation of witness evidence
6-85
Evidentiary weight of witness evidence
6-88
Taking evidence overseas
6-89
(d) Expert evidence
6-90
Experts appointed by the arbitral tribunal
6-91
Power to appoint experts
6-92
Presentation of expert evidence
6-94
Alternative methods of presenting expert evidence
6-%
Admissibility of expert evidence
6-98
Categories of expert evidence
6-99
(e) Inspection of the subject-matter of the dispute
6-100
Power of the arbitral tribunal to inspect the subject-matter
6-101
Procedure for inspection
6-102
Inspection under institutional rules of arbitration
6-103
6.
Hearings
(a) Generally
6-104
(b) Organisation of the hearing
6-105
xix
Table
of
Contents
Representation
6-107
Pre-hearing
conferences
6-109
Revised ICSID Rules
б 1
11
(c) Procedure at hearings
6-112
International practice
6-113
Examination of witnesses
6-115
Who has the last word?
6-118
(d)
Ex parte
hearings
6-119
Refusal to participate
6-120
Procedure in
ex parte
hearings
6-121
7.
Proceedings after the Hearing
(a) Generally
6-123
(b) Post-hearing briefs
6-124
(c) New evidence
6-125
Chapter
7—
The Role of National Courts During the Proceedings
1.
Introduction
7-01
(a) The increasing independence of arbitration
7-03
(b) Limitations on independence
7-04
(c) A
relay race
7-05
2.
At the Beginning of the Arbitration
7-06
(a) Enforcing the arbitration agreement
7-07
(b) Establishing the arbitral tribunal
7-08
(c) Challenges to jurisdiction
7-09
3.
During the Arbitral Proceedings
7-10
(a) Interim measures: powers of the arbitral tribunal
7-11
(1)
No powers
7-13
(2)
Inability to act prior to the formation of the tribunal
7-14
(3)
An order can only affect the parties to the arbitration
7-15
(4)
Enforcement difficulties
7-16
(5)
No
ex parte
application
7-17
(b) Interim measures: powers of the competent court
7-18
Incompatibility with the arbitration agreement?
7-19
Should application be made to a national court or to the
arbitrators?
7-21
(c) Measures relating to the attendance of witnesses and preservation of
evidence
7-24
(d) Measures aimed at preserving the status quo
7-28
(e) Interim relief in respect of parallel proceedings
7-33
(f) Security for costs
7-39
4.
At the end of the Arbitration
(a) Judicial control of the proceedings and the award
7-41
5.
Conclusion 7_42
Chapter
8—
The Award
1.
Background
(a) Generally g_01
Achieving the intended result
8-04
Definition of award %-Q5
Order or Award $_07
(b) Remedies g_09
XX
Table
of Contents
4.
Monetary compensation
8-10
Punitive damages and other penalties
8-11
Specific performance
8-14
Restitution
8-15
Injunctions
8-17
Declaratory relief
8-18
Rectification
8-19
Adaptation of contracts and filling gaps
8-20
Interest and costs
8-24
(c) How an arbitral tribunal reaches its decision
8-25
Majority voting
8-31
The bargaining process
8-35
Categories of Awards
(a) Generally
8-39
(b) Final awards
8^0
(c) Partial and interim awards
8-41
Issues concerning the applicable law
8-43
Separation of liability and quantum
8-44
Limitation clauses in contract
8-45
(d) Default awards
8^t6
(e) Consent awards
8^t8
Validity of Awards
(a) Generally
8-52
(b) Form of the award
8-53
The law governing the arbitration
8-55
The introductory section of a award
8-56
Signatures
8-57
Language of the award
8-58
(c) Contents of the award
8-59
The arbitration agreement
8-60
Unambiguous
8-61
Effective determination of the issues
8-62
Reasons
8-63
Different ways of giving reasons
8-65
(d) Time-limits
8-66
The disadvantages of mandatory time-limits
8-68
Non-mandatory provisions
8-69
(e) Notification of awards
8-70
(f) Registration or deposit of awards
8-71
Other considerations
(a) Res judicata effect of award
8-72
Existing disputes
8-73
Subsequent disputes
8-74
Effect of award on third parties
8-75
(b) Separate, concurring and dissenting opinions
8-76
Dissenting opinions
8-77
The position in national laws
8-78
The position under institutional rules
8-79
The practice in ICC arbitrations
8-80
Practice at the Iran-United States Claims Tribunal
8-81
When and how should absenting opinions be given in international
arbitrations?
8-82
(c) Interest
8-84
(d) The basis upon which interest can be awarded
8-85
XXI
Table
of Contents
How much interest to award
8-86
Compound interest
8-87
Enforcing awards that carry interest
8-89
Post-award interest
8-90
(e) Costs
8-91
Costs of the arbitration
8-92
Costs of the parties
8-93
Assessing the costs of the parties
8-95
Requirements imposed by national law
8-97
(f) Proceedings after the award
8-98
Under national law
8-99
Under rules of arbitration
8-100
Review procedures other than by national courts
8-103
Review procedure under the ICSID Rules
8-105
Publication of awards
8-106
Chapter
9—
Challenge of Arbitral Awards
1.
Background
9-ОЇ
(a) The purpose of challenge
9-02
(b) The meaning of challenge
9-03
(c) Introductory remarks
9-04
2.
Methods of challenge
9-07
(a) Internal challenge
9-08
(b) Correction and interpretation of awards; additional awards
9-11
(c) Recourse to the courts
9-12
3.
Grounds for Challenge
(a) Lack of jurisdiction
9-13
(b) Other grounds for challenge
9-16
4.
Grounds for Challenge under the Model Law
9-18
(a) Incapacity: invalid agreement to arbitrate
9-20
(b) Lack of due process
9-21
(c) Issues of jurisdiction
9-26
(d) Further procedural issues
9-28
Summary
9-29
(e) Arbitrability
9-30
(f) Public policy
9-32
(g) Conclusion
9-34
5.
Substantive Grounds for Challenge
(a) Mistakes of Law
9-35
(b) Mistake of fact
9-42
6.
Place, Time and Effects of Challenge
(a) Place of challenge
9-45
(b) Time-limits
9-46
(c) The effects of a successful challenge
9-47
Chapter
10—
Recognition and Enforcement of Arbitral Awards
1.
Background
10-01
(a) Performance of awards
10-03
Commercial and other pressures
10-04
Arbitrator s duty to render an enforceable award
10-06
Enforcement by court proceedings
10-07
XXII
Table
of
Contents
The general principles governing recognition and enforcement
10-09
The difference between recognition and enforcement
10-10
Recognition
10-11
Enforcement
10-12
(b) Place of recognition and enforcement
10-14
Forum shopping
10-16
(c) Methods of recognition and enforcement
10-17
(d) Time-limits
10-18
(e) Consequences of refusal of recognition or enforcement
10-19
2.
The Role of International Conventions
(a) Generally
10-20
(b) The Geneva Treaties
The Geneva Protocol of
1923 10-21
The Geneva Convention of
1927 0-22
(c) The New York Convention
10-23
Enforcing the agreement to arbitrate
10-24
Enforcing foreign awards
10-25
The first reservation: reciprocity
10-26
The second reservation: commercial relationships
10-28
Recognition and enforcement under the New York Convention
10-31
Formalities
10-32
3.
Refusal of Recognition and Enforcement
(a) Generally
10-33
(b) Grounds for refusal
10-36
(c) First ground for refusal: incapacity; invalid arbitration agreement
10-38
(d) Second ground: no proper notice of appointment of arbitrator or of the
proceedings; lack of due process
10-39
(e) Third ground: jurisdictional issues
10-41
(f) Fourth ground: composition of tribunal or procedure not in
accordance with arbitration agreement or the relevant law
10-43
(g) Fifth ground: award not binding; suspended or set aside
10-45
(h) Arbitrability
10-50
(i) Public policy
10-51
(j) The Washington Convention
10-55
(k) Refusal of recognition an enforcement under regional conventions
The European Convention of
1961 10-56
The Moscow Convention
10-57
The Panama Convention
10-58
The Amman Convention
10-60
Other regional conventions
10-61
(1)
The defence of state immunity
10-62
Jurisdictional immunity
10-63
Immunity from execution
10-64
4.
Practical Considerations
(a) An entry of judgment clause
10-68
(b) Enforcing under the New York Convention or a more favourable
treaty or local law
10-70
Enforcement as a domestic award
10-73
Enforcement as an obligation
10-74
(c) Options open to the successful party: a checklist
10-75
(d) Options open to the unsuccessful party: a checklist
10-76
To challenge or not?
10-77
(e) The need for local advice
10-79
xxiii
Index
Table
of Contents
Chapter
11—
Arbitration Under Investment Treaties
1.
Introduction
11-01
2.
Jurisdictional Issues
(a) Existence of an applicable treaty
1
I-O5
(b) Protected investors
1
1~06
Natural persons
1
1~07
Legal entities
11-08
(c) Protected Investments
11-09
(d) Other jurisdictional issues
11-12
3.
Law Applicable to the Substance of the Dispute
11-19
4.
The Merits of the Dispute
11-23
(a) Fair and equitable treatment and the international minimum
standard
11-24
(b) Full protection and security
11-28
(c) No arbitrary or discriminatory measures impairing the investment
11-30
(d) No expropriation without prompt, adequate and effective
compensation
11-31
Indirect expropriation
11-32
Acts contrary to undertakings and assurances granted to investors
may constitute expropriation
11-33
The purpose of the host state s measures does not affect their
characterisation
11-34
Compensation standard
11-36
(e) National and most favoured nation treatment
11-37
(f) Free transfer of funds related to investments
11-39
(g) Observance of specific investment undertakings
11-40
5.
Remedies under Bits
11-42
(a) Expropriation remedies
11-43
Appendices
Appendix A
-
The New York Convention on the Recognition and Enforce¬
ment of Foreign Arbitral Awards A-01
Appendix
В
-
UNCITRAL Model Law of International Commercial
Arbitration B-01
Appendix
С
-
UNCITRAL Arbitration Rules C-Ol
Appendix
D
-
UNCITRAL Notes on Organizing Arbitral Proceedings D-01
Appendix
E
-
ША
Rules on the Taking of Evidence in International
Commercial Arbitration E-01
Appendix
F
-
ША
Guidelines on Conflicts of Interest in International
Arbitration F-01
Appendix
G
-
ICDR
toternational
Arbitration Rules G-01
Appendix
H
-
International Chamber of Commerce Rules of Arbitration H-01
Appendix I
-
1СЅШ
Rules of Procedure for the Institution of Conciliation
and Arbitration Proceedings
1-01
Appendix
J
-
LCIA Arbitration Rules j-01
Appendix
К
-
Model Arbitration Clauses for International Contracts K-01
Appendix
M
-
Scoreboard of Adherence to Transnational Arbitration
Treaties
M-Öl
Appendix
N -
ША
International Code of Ethics N-01
645
XXIV
|
| adam_txt |
TABLE
OF
CONTENTS
Page
Preface
v
Acknowledgments
¡χ
Abbreviations
χχν
Table of Cases
xxviii
Table of Arbitration Awards
xxxvi
Table of Statutes
xlii
Table of Major Arbitration Conventions
xlvi
Table of International Arbitration Rules I
Table of Civil Codes
liv
Table of Treaties
lv
Tables of Directives, European Regulations and Civil Procedure Rules
lvi
Chapter
1—
Introduction Para.
1.
Key Elements of International Arbitration
(a) Generally
1-01
(b) A brief historical overview
1-03
(c) Significant features of arbitration
1-07
The agreement to arbitrate
1-08
The importance of the arbitration agreement
1-11
Enforcement of the arbitration agreement
1 — 12
Powers conferred bx the arbitration agreement
1 — 13
The choice of arbitrators
1-14
The decision of the arbitral tribunal
1-16
The enforcement of the award
1-18
Summary
1-19
(d) The meaning of "international"
1-20
International and domestic arbitrations contrasted
1-21
(e) The relevant criteria
1-24
The international nature of the dispute
1-25
The nationality of the parties
1-27
The Model Law criteria: a combined approach
1-29
(f) The meaning of "commercial"
1-31
(g) Anatomy of a simple arbitration clause
1-34
Arbitrability
1-35
Is there any need for a dispute?
1-36
Existing and future disputes
1-37
Arising out of or in connection with this agreement
1-38
Shall be referred to and determined by arbitration
1-39
xi
Table
of Contents
Other matters
1-40
2.
Why Arbitrate?
(a) The principle reasons
1^1
A choice of a "neutral" forum and a "neutral" tribunal
1-42
An enforceable decision
1-43
(b) Subsidiary reasons
1-44
(c) Perceived disadvantages of arbitration
1—45
Costs
1^6
Limited powers of arbitrators
1—47
No joinder of parties
1-48
Conflicting awards
1—49
International arbitration or national litigation?
1-50
(d) Confidentiality
1-53
The Classical Position
1-55
The current trend
1—56
The award
1-58
Confidentiality in investor/state arbitrations
1-61
Revisions to rules of arbitration
1-64
LCIA Rules
1-65
The WIPO Arbitration Rules
1-66
Conclusion
1-68
(e) Alternative Dispute Resolution
Introduction
1-69
What is meant by ADR?
1-71
How does ADR work?
1-73
Mediation
1-74
Conciliation
1-75
The UNCITRAL Conciliation Rules
1-76
The UNCITRAL Model Law on Conciliation
1-79
Dispute Resolution Centres
1-80
Mini-trial
1-81
Mediation/Arbitration (Med/Arb.)
1-82
The neutral listener agreement
1-83
"Last offer" or "baseball" arbitration
1-84
Court-annexed ADR
1-85
Expert Determination (including adjudication and Dispute Review
Boards)
1-87
The enforceability of agreements for expert determination
1-90
Why has ADR developed as it has?
Business and cultural considerations
1-91
ADR—future perspectives
1-93
The need for judicial control
1-94
ADR and Arbitration combined
1-95
Amiable
compositeur,
equity clauses, "ex aqueo
et bono"
1-96
3.
What Kind of Arbitration?
(a) Introduction
1-97
(b) Institutional and ad hoc arbitration
1-99
(c) Institutional arbitration
—
advantages and disadvantages
1-100
Advantages
1-102
Disadvantages
1-103
(d) Ad hoc arbitration
—
advantages and disadvantages
Advantages
1-104
Disadvantages
1-107
(e) Arbitral Institutions
1-108
xii
Table
of Contents
What to look for in an arbitral institution
1-109
A degree of permanency
1-110
Modern rules of arbitration
1-111
Qualified staff
1-112
Reasonable charges
1-113
Some well known institutions
The International Chamber of Commerce
1-114
The LCIA
1-117
The American Arbitration Association
1-118
The WIPO Arbitration Centre
1-119
Domain names
1 — 120
(f) Arbitrations involving a state or state entity
1-121
1CSID
1-123
ICSID
—
an international institution
1-126
1CSID 's Additional Facility
1-128
The Permanent Court of Arbitration ("the PCA")
1-129
Claims Commissions and Tribunals
1-130
(a) The Iran-United States Claims Tribunal
1-131
(b) The United Nations Compensation Commission
1-132
(c) The Holocaust Tribunals
1-133
Regulation of International Arbitration
(a) Generally
1-134
(b) The role of national law
1-138
State participation in the arbitral process
1-139
(c) The role of international conventions and the Model Law
1-141
Bilateral Investment Treaties
1-142
International Conventions generally
1-144
The Geneva Protocol of
1923 1-145
The Geneva Convention of
1927 1-146
The New York Convention of
1958 1-147
Conventions after
1958 1-149
Regional conventions
1-150
The Model Law
1-151
(d) Practice
—
national or international
1-152
How procedure is determined
1-154
Summary
1-158
Chapter
г
—
Applicable Laws
1.
Introduction
(a) Generally
2-01
(b) No legal vacuum
2-02
(c) A
complex interaction of laws
2-04
2.
The Law Governing the Arbitration
(a) Introduction
2-05
(b) What is the lex
arbitri?
2-08
(c)
The content of the lex
arbitri
2-09
(d)
Procedural rules and lex
arbitri
2-12
(e)
The seat theory
2-14
(0
Is the lex
arbitri a
procedural law?
2-19
(g) Choice of a foreign procedural law
2-20
(h) Where an award is made
2-22
(i) De-localisation
2-25
xiii
Table
of Contents
The arguments considered -~-
'
The position in reality
2-28
(j) The "seat" theory and lex
arbitri
2-29
3.
The Law Applicable to the Substance
(a) Generally
2-31
Crossing national frontiers
2-33
(b) The autonomy of the parties
2-34
Recognition by international conventions
2-35
Time of choice
_—36
Restrictions on party autonomy
2-37
The choices
2-38
(c) National law
2^-0
Choice of a system of national law
2—41
Precluding unfair treatment 2-Ai
Stabilisation
clauses
1-ЛА
Summary
2—45
(d) Public International Law and General Principles of Law
2-46
(e) Concurrent laws, combined laws and the
"tronc commum"
doctrine
2-48
The Libyan oil nationalisation arbitrations
2-50
(f) Transnational law (including Lex Mercatoria; the UNIDROIT
Principles; the Shari'ah; international development law and trade
usages)
Introduction
2—57
The lex mercatoria
2-59
The list method
2-61
The functional method
2-62
UNIDROIT Principles
2-65
The Shari'ah
2-67
International Development Law
2—68
Trade usages
2—70
Authority
lo
apply non-national law
2-71
(g) Equity and good conscience
2-73
4.
Conflict Rules and the Search for Applicable Law
(a) Generally
2-75
(b) Implied or tacit choice
2-76
Choice of forum as choice of law
2-78
(c) Conflict rules
2-79
Does an international arbitral tribunal have a lex
fori?
2-80
International conventions, rules of arbitration and national laws
2-82
(d) Conclusion
2-84
5.
The Law Governing the Agreement to Arbitrate
2-85
(a) Summary
2-93
Chapter
3—
Arbitration Clauses and Submission Agreements
1.
Background
(a) Generally
3-01
(b) Categories of arbitration agreements 3_02
(c) International conventions
The Geneva Treaties
3-04
(d) International standards
3-05
2.
The Validity of an Arbitration Agreement
(a) Formal validity
—
the need for writing 3_O7
xiv
Table
of
Contents
(b)
A
defined legal relationship
3-Ю
(c)
Arbitrability
3-12
Patents, Trademarks and Copyrights
3-15
Antitrust and competition laws
3-16
Securities transactions
3-19
Bribery· and corruption
3-20
Fraud
3-23
The Parties to an Arbitration Agreement
(a) Capacity
3-25
Natural persons
3-26
Corporations
3-27
States and State Agencies
3-28
(b) Third parties to the arbitration agreement
3-30
Piercing the corporate veil within groups of companies
3—31
Assignment, agency and succession
Assignment
3-34
Arbitration Agreements concluded by Agents
3-35
Succession and Novation
3-36
Analysis of an Arbitration Agreement
(a) Scope
3-37
Forms of Wording
3—38
(b) Basic Elements
3—42
A valid arbitration agreement
3^5
The number of arbitrators
3—46
Establishment of the arbitral tribunal
3—17
Ad hoc or institutional arbitration
3-48
Filling vacancies in the tribunal
3^49
Place of arbitration
3-51
Governing law
3-52
Default clauses
3-53
Language
3-54
Entry of judgment and rule of court clauses
3—55
Other procedural matters
3-56
(c) Submission agreements
Generally
3-57
Drafting a submission agreement
3—58
An illustration
3-59
(d) Separability
3-60
(e) Summary
3-65
Defective Arbitration Clauses
3-67
(a) Inconsistency
3-68
(b) Uncertainty
3-69
(c) Inoperability
3-71
(d) Repudiation and waiver of arbitration agreements
3-72
Multi-Party Arbitrations
(a) Generally
3-73
Several parties to one contract
3-74
Several contracts with different parties
3-77
(b) String Arbitrations
3-80
(c) Concurrent Hearings
3-81
(d) Court ordered consolidation
3-82
(e) Consolidation by consent
Under an arbitration agreement
3-84
Under institutional rules
3-85
xv
Table
of Contents
Chapter
4—
The Establishment and Organisation of an Arbitral Tribunal
1.
Background
(a) Generally
4-01
(b) Commencement of an arbitration
4—03
Time-limits
4-04
Statutory time-limits
4-05
Contractual time-limits
4—07
(c) Commencement of an arbitration under the applicable law
4-09
(d) Commencement of an arbitration under institutional rules
4-10
(e) Selecting an arbitral tribunal
4—12
(f) Sole arbitrators and multi-arbitrator tribunal
4—14
Sole arbitrators
4-15
Two arbitrators
4-16
Three arbitrators
4-17
Four or more arbitrators
4-19
2.
Appointment of Arbitrators
(a) Generally
4-21
(b) Agreement of the parties
4—22
(c) Arbitral institution
4-25
(d) List system
4-26
(e) Existing arbitrators
4-28
(f) Professional institution
4-29
(g) Trade association
4-30
Designation by the Secretary-General of the PCA
4—36
3.
Qualities Required in International Arbitrators
(a) Generally
4-39
(b) Restrictions imposed by the parties
4—40
(c) Restrictions imposed by the applicable law
4—41
(d) Professional qualifications
4-42
Sole arbitrator
Ą-A3
Three arbitrators
4—44
(a) Language
4-45
(b) Experience and outlook
(c) Education and training
(d) Interviewing prospective arbitrators
4-50
4.
Impartiality and Independence of Arbitrators
(a) Generally 4_52
(b) Independence and/or Impartiality
4-54
Impartiality distinguished from neutrality
4—56
Nationality
4—58
(c) Disclosure
4—61
Governmental agencies
4-65
(d) Communication with the parties
4-66
5.
Challenge and Replacement of Arbitrators
(a) Generally 4_67
(b) Grounds for challenge 4_68
(c) Procedure for challenge 4_72
Challenges under the ICSID Rules
4-74
(d) Waiver 4_76
(e) Filling a vacancy 4_78
(f) Truncated tribunals 4_79
(g) Procedure following the filling of a vacancy
4-82
Transcripts
4—83
xvi
Table
of Contents
(h)
Insuring against a vacancy 4_85
6.
The Organisation of the Arbitral Tribunal
(a) Generally 4_86
(b) Meetings and hearings 4_87
Meetings and hearings at which the parties are present
4—88
Fixing dates for hearings
4-89
Avoiding local public holidays
4—90
Length of hearing
4—91
(c) Administrative aspects
4-94
Arbitration centres
4-96
Arbitral institutions
4-97
Universities, clubs and other institutions
4-98
Hotels
4-99
Interpreters
4—100
Verbatim records
4-101
Hearing hours
4-103
Relations between the parties and the arbitral tribunal
4—106
Functions of the presiding arbitrator
4—107
(d) The role of an administrative secretary or registrar
4-108
Institutional arbitrations
4-109
Who to appoint
4-110
7.
Fees and Expenses of the Arbitral Tribunal
4—113
(a) Who fixes fees
4-114
(b) Commitment or cancellation fees
4-115
(c) Methods of assessing fees
4—117
The ad valorem method
4—118
The "time spent" method
4—119
The "fixed fee" method
4-120
(d) Negotiating arbitrators' fees
4-121
(e) Expenses of the arbitral tribunal
4-122
The reimbursement method
4-123
The per diem method
4-124
The 1CS1D method
4-125
(f) Securing payment of the fees and expenses of the arbitral tribunal
4-126
Chapter
5—
Powers, Duties and Jurisdiction of an Arbitral Tribunal
1.
Background
(a) Generally
5-01
(b) Practical considerations
5-02
2.
Powers of Arbitrators
(a) Generally
5-03
(b) Powers conferred by the parties
5-04
Directly
5-05
Indirectly
5-06
(c) Powers conferred by operation of law
5-07
3.
Duties of Arbitrators
(a) Generally
5-11
(b) Duties imposed by the parties
5-12
(c) Duties imposed by law
5-14
Duty to act with due care
5-15
Duty to act with due diligence
5-23
Duty to act judicially
5-24
xvii
Table
of Contents
(d)
Ethical duties 5~27
4.
Jurisdiction
(a) Generally
5-30
(b) Challenges to jurisdiction
5-31
Partial challenge
5-32
Total challenge
5-35
(c) The autonomy (or separability) of the arbitration clause
5-36
Who judges?
5-38
Competence/Competence
5-39
Competence
5—43
Limitations on jurisdiction
5-44
Award made without jurisdiction
5—45
(d) Court control
5-46
Concurrent control
5—47
The choices open to the arbitral tribunal
5—48
(e) Procedural aspects of resolving issues of jurisdiction
5-52
The time at which issues of jurisdiction should be raised
5-53
(f) Options open to the respondent
5-54
Boycott the arbitration
5-55
Raise objections with the arbitral tribunal
5-56
Application to a national court
5-57
Attacking the award
5-59
The combined approach
5-60
Form of court intervention
5-61
(g) International agreements on the jurisdiction of national courts
5-62
Chapter
6—
The Conduct of the Proceedings
2.
Background
(a) Generally
6-01
(b) Party autonomy
6-03
(c) Restrictions on party autonomy
6-05
Equality
6-06
Public policy
6-07
Arbitration rules
6-08
Third parties
6-09
(d) Adversarial and inquisitorial processes
6-10
Choice of the Place of Arbitration
(a) Generally
6-12
(b) The law governing the arbitration
6-14
The lex
arbitri
6-17
Local restrictions on arbitrators and party representatives
6-18
Ethical and other duties
6-19
(c) Enforceability
6-21
(d) Meetings need not all be held at the seat of arbitration
6-23
(e) Where should as award be "made"?
6-24
(f) Changing the seat of arbitration
6-25
Agreement inoperative or incapable of being performed
6-26
Preliminary steps
(a) Generally
6-27
Conduct of preliminary meetings
6-29
Representation at preliminary meetings
6-29
Adjournment of preliminary meetings
6-30
XVIII
Table
of Contents
Matters to be determined at preliminary meetings
6-31
UNCITRAL Notes on Organizing Arbitral Proceedings
6-32
(b) Other preliminary issues
6-33
Applicable laws
6-34
Separation of liability and quantum
6-35
Separation and other issues
6-37
(c) Expedited remedies
6-39
Pre-arbitral referee
6-40
Expedited formation of the arbitral tribunal
6-42
"Fast track" arbitrations
6-43
(d) Avoiding delay and disruption
6-46
Special procedures in small cases
6-47
4.
Written Submissions
(a) Generally
6-48
The function of written submissions
6-49
The need to avoid ambiguity
6-51
(b) Written pleadings in institutional arbitration
6-52
Definition of the issues
6-55
Terminology
6-56
Time-limits
6-58
Admissibility of counterclaims
6-59
5.
Evidence
(a) Generally
6-61
Common and civil law procedures
6-62
Admissibility
6-65
Burden of proof
6-67
Methods of presenting evidence
6-68
(b) Production of documents
6-69
Favourable and unfavourable documents
6-70
Common law practice
6-71
Civil law practice
6-73
Practice in international arbitrations
6-74
Disputed document requests
6-76
Documents in the possession of third parties
6-79
Presentation of documents
6-80
Translations
6-82
(c) Testimony of witnesses
6-83
Presentation of witness evidence
6-85
Evidentiary weight of witness evidence
6-88
Taking evidence overseas
6-89
(d) Expert evidence
6-90
Experts appointed by the arbitral tribunal
6-91
Power to appoint experts
6-92
Presentation of expert evidence
6-94
Alternative methods of presenting expert evidence
6-%
Admissibility of expert evidence
6-98
Categories of expert evidence
6-99
(e) Inspection of the subject-matter of the dispute
6-100
Power of the arbitral tribunal to inspect the subject-matter
6-101
Procedure for inspection
6-102
Inspection under institutional rules of arbitration
6-103
6.
Hearings
(a) Generally
6-104
(b) Organisation of the hearing
6-105
xix
Table
of
Contents
Representation
6-107
Pre-hearing
conferences
6-109
Revised ICSID Rules
б"1
11
(c) Procedure at hearings
6-112
International practice
6-113
Examination of witnesses
6-115
Who has the last word?
6-118
(d)
Ex parte
hearings
6-119
Refusal to participate
6-120
Procedure in
ex parte
hearings
6-121
7.
Proceedings after the Hearing
(a) Generally
6-123
(b) Post-hearing briefs
6-124
(c) New evidence
6-125
Chapter
7—
The Role of National Courts During the Proceedings
1.
Introduction
7-01
(a) The increasing independence of arbitration
7-03
(b) Limitations on independence
7-04
(c) A
relay race
7-05
2.
At the Beginning of the Arbitration
7-06
(a) Enforcing the arbitration agreement
7-07
(b) Establishing the arbitral tribunal
7-08
(c) Challenges to jurisdiction
7-09
3.
During the Arbitral Proceedings
7-10
(a) Interim measures: powers of the arbitral tribunal
7-11
(1)
No powers
7-13
(2)
Inability to act prior to the formation of the tribunal
7-14
(3)
An order can only affect the parties to the arbitration
7-15
(4)
Enforcement difficulties
7-16
(5)
No
ex parte
application
7-17
(b) Interim measures: powers of the competent court
7-18
Incompatibility with the arbitration agreement?
7-19
Should application be made to a national court or to the
arbitrators?
7-21
(c) Measures relating to the attendance of witnesses and preservation of
evidence
7-24
(d) Measures aimed at preserving the status quo
7-28
(e) Interim relief in respect of parallel proceedings
7-33
(f) Security for costs
7-39
4.
At the end of the Arbitration
(a) Judicial control of the proceedings and the award
7-41
5.
Conclusion 7_42
Chapter
8—
The Award
1.
Background
(a) Generally g_01
Achieving the intended result
8-04
Definition of award %-Q5
"Order" or "Award" $_07
(b) Remedies g_09
XX
Table
of Contents
4.
Monetary compensation
8-10
Punitive damages and other penalties
8-11
Specific performance
8-14
Restitution
8-15
Injunctions
8-17
Declaratory relief
8-18
Rectification
8-19
Adaptation of contracts and filling gaps
8-20
Interest and costs
8-24
(c) How an arbitral tribunal reaches its decision
8-25
Majority voting
8-31
The bargaining process
8-35
Categories of Awards
(a) Generally
8-39
(b) Final awards
8^0
(c) Partial and interim awards
8-41
Issues concerning the applicable law
8-43
Separation of liability and quantum
8-44
Limitation clauses in contract
8-45
(d) Default awards
8^t6
(e) Consent awards
8^t8
Validity of Awards
(a) Generally
8-52
(b) Form of the award
8-53
The law governing the arbitration
8-55
The introductory section of a award
8-56
Signatures
8-57
Language of the award
8-58
(c) Contents of the award
8-59
The arbitration agreement
8-60
Unambiguous
8-61
Effective determination of the issues
8-62
Reasons
8-63
Different ways of giving reasons
8-65
(d) Time-limits
8-66
The disadvantages of mandatory time-limits
8-68
Non-mandatory provisions
8-69
(e) Notification of awards
8-70
(f) Registration or deposit of awards
8-71
Other considerations
(a) Res judicata effect of award
8-72
Existing disputes
8-73
Subsequent disputes
8-74
Effect of award on third parties
8-75
(b) Separate, concurring and dissenting opinions
8-76
Dissenting opinions
8-77
The position in national laws
8-78
The position under institutional rules
8-79
The practice in ICC arbitrations
8-80
Practice at the Iran-United States Claims Tribunal
8-81
When and how should absenting opinions be given in international
arbitrations?
8-82
(c) Interest
8-84
(d) The basis upon which interest can be awarded
8-85
XXI
Table
of Contents
How much interest to award
8-86
Compound interest
8-87
Enforcing awards that carry interest
8-89
Post-award interest
8-90
(e) Costs
8-91
Costs of the arbitration
8-92
Costs of the parties
8-93
Assessing the costs of the parties
8-95
Requirements imposed by national law
8-97
(f) Proceedings after the award
8-98
Under national law
8-99
Under rules of arbitration
8-100
Review procedures other than by national courts
8-103
Review procedure under the ICSID Rules
8-105
Publication of awards
8-106
Chapter
9—
Challenge of Arbitral Awards
1.
Background
9-ОЇ
(a) The purpose of challenge
9-02
(b) The meaning of challenge
9-03
(c) Introductory remarks
9-04
2.
Methods of challenge
9-07
(a) Internal challenge
9-08
(b) Correction and interpretation of awards; additional awards
9-11
(c) Recourse to the courts
9-12
3.
Grounds for Challenge
(a) Lack of jurisdiction
9-13
(b) Other grounds for challenge
9-16
4.
Grounds for Challenge under the Model Law
9-18
(a) Incapacity: invalid agreement to arbitrate
9-20
(b) Lack of due process
9-21
(c) Issues of jurisdiction
9-26
(d) Further procedural issues
9-28
Summary
9-29
(e) Arbitrability
9-30
(f) Public policy
9-32
(g) Conclusion
9-34
5.
Substantive Grounds for Challenge
(a) Mistakes of Law
9-35
(b) Mistake of fact
9-42
6.
Place, Time and Effects of Challenge
(a) Place of challenge
9-45
(b) Time-limits
9-46
(c) The effects of a successful challenge
9-47
Chapter
10—
Recognition and Enforcement of Arbitral Awards
1.
Background
10-01
(a) Performance of awards
10-03
Commercial and other pressures
10-04
Arbitrator's duty to render an enforceable award
10-06
Enforcement by court proceedings
10-07
XXII
Table
of
Contents
The general principles governing recognition and enforcement
10-09
The difference between recognition and enforcement
10-10
Recognition
10-11
Enforcement
10-12
(b) Place of recognition and enforcement
10-14
Forum shopping
10-16
(c) Methods of recognition and enforcement
10-17
(d) Time-limits
10-18
(e) Consequences of refusal of recognition or enforcement
10-19
2.
The Role of International Conventions
(a) Generally
10-20
(b) The Geneva Treaties
The Geneva Protocol of
1923 10-21
The Geneva Convention of
1927 0-22
(c) The New York Convention
10-23
Enforcing the agreement to arbitrate
10-24
Enforcing foreign awards
10-25
The first reservation: reciprocity
10-26
The second reservation: commercial relationships
10-28
Recognition and enforcement under the New York Convention
10-31
Formalities
10-32
3.
Refusal of Recognition and Enforcement
(a) Generally
10-33
(b) Grounds for refusal
10-36
(c) First ground for refusal: incapacity; invalid arbitration agreement
10-38
(d) Second ground: no proper notice of appointment of arbitrator or of the
proceedings; lack of due process
10-39
(e) Third ground: jurisdictional issues
10-41
(f) Fourth ground: composition of tribunal or procedure not in
accordance with arbitration agreement or the relevant law
10-43
(g) Fifth ground: award not binding; suspended or set aside
10-45
(h) Arbitrability
10-50
(i) Public policy
10-51
(j) The Washington Convention
10-55
(k) Refusal of recognition an enforcement under regional conventions
The European Convention of
1961 10-56
The Moscow Convention
10-57
The Panama Convention
10-58
The Amman Convention
10-60
Other regional conventions
10-61
(1)
The defence of state immunity
10-62
Jurisdictional immunity
10-63
Immunity from execution
10-64
4.
Practical Considerations
(a) An "entry of judgment" clause
10-68
(b) Enforcing under the New York Convention or a more favourable
treaty or local law
10-70
Enforcement as a "domestic" award
10-73
Enforcement as an obligation
10-74
(c) Options open to the successful party: a checklist
10-75
(d) Options open to the unsuccessful party: a checklist
10-76
To challenge or not?
10-77
(e) The need for local advice
10-79
xxiii
Index
Table
of Contents
Chapter
11—
Arbitration Under Investment Treaties
1.
Introduction
11-01
2.
Jurisdictional Issues
(a) Existence of an applicable treaty
1
I-O5
(b) Protected investors
1
1~06
Natural persons
1
1~07
Legal entities
11-08
(c) Protected Investments
11-09
(d) Other jurisdictional issues
11-12
3.
Law Applicable to the Substance of the Dispute
11-19
4.
The Merits of the Dispute
11-23
(a) "Fair and equitable treatment" and the international minimum
standard
11-24
(b) Full protection and security
11-28
(c) No arbitrary or discriminatory measures impairing the investment
11-30
(d) No expropriation without prompt, adequate and effective
compensation
11-31
Indirect expropriation
11-32
Acts contrary to undertakings and assurances granted to investors
may constitute expropriation
11-33
The purpose of the host state's measures does not affect their
characterisation
11-34
Compensation standard
11-36
(e) National and "most favoured nation" treatment
11-37
(f) Free transfer of funds related to investments
11-39
(g) Observance of specific investment undertakings
11-40
5.
Remedies under Bits
11-42
(a) Expropriation remedies
11-43
Appendices
Appendix A
-
The New York Convention on the Recognition and Enforce¬
ment of Foreign Arbitral Awards A-01
Appendix
В
-
UNCITRAL Model Law of International Commercial
Arbitration B-01
Appendix
С
-
UNCITRAL Arbitration Rules C-Ol
Appendix
D
-
UNCITRAL Notes on Organizing Arbitral Proceedings D-01
Appendix
E
-
ША
Rules on the Taking of Evidence in International
Commercial Arbitration E-01
Appendix
F
-
ША
Guidelines on Conflicts of Interest in International
Arbitration F-01
Appendix
G
-
ICDR
toternational
Arbitration Rules G-01
Appendix
H
-
International Chamber of Commerce Rules of Arbitration H-01
Appendix I
-
1СЅШ
Rules of Procedure for the Institution of Conciliation
and Arbitration Proceedings
1-01
Appendix
J
-
LCIA Arbitration Rules j-01
Appendix
К
-
Model Arbitration Clauses for International Contracts K-01
Appendix
M
-
Scoreboard of Adherence to Transnational Arbitration
Treaties
M-Öl
Appendix
N -
ША
International Code of Ethics N-01
645
XXIV |
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| index_date | 2024-07-02T19:54:15Z |
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| spelling | Redfern, Alan Verfasser aut Law and practice of international commercial arbitration by Alan Redfern ; Martin Hunter. With Nigel Blackaby ... 4. ed., repr. London Sweet & Maxwell 2005 LVI, 661 S. txt rdacontent n rdamedia nc rdacarrier Schiedsgerichtsbarkeit (DE-588)4052348-2 gnd rswk-swf Internationale Handelsschiedsgerichtsbarkeit (DE-588)4132605-2 gnd rswk-swf Verfahren (DE-588)4187669-6 gnd rswk-swf Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd rswk-swf Außenhandel (DE-588)4003832-4 gnd rswk-swf Außenhandel (DE-588)4003832-4 s Schiedsgerichtsbarkeit (DE-588)4052348-2 s 1\p DE-604 Internationale Handelsschiedsgerichtsbarkeit (DE-588)4132605-2 s Verfahren (DE-588)4187669-6 s 2\p DE-604 Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 s 3\p DE-604 Hunter, Martin Verfasser aut Digitalisierung UB Bayreuth application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=016330584&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis 1\p cgwrk 20201028 DE-101 https://d-nb.info/provenance/plan#cgwrk 2\p cgwrk 20201028 DE-101 https://d-nb.info/provenance/plan#cgwrk 3\p cgwrk 20201028 DE-101 https://d-nb.info/provenance/plan#cgwrk |
| spellingShingle | Redfern, Alan Hunter, Martin Law and practice of international commercial arbitration Schiedsgerichtsbarkeit (DE-588)4052348-2 gnd Internationale Handelsschiedsgerichtsbarkeit (DE-588)4132605-2 gnd Verfahren (DE-588)4187669-6 gnd Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd Außenhandel (DE-588)4003832-4 gnd |
| subject_GND | (DE-588)4052348-2 (DE-588)4132605-2 (DE-588)4187669-6 (DE-588)4162055-0 (DE-588)4003832-4 |
| title | Law and practice of international commercial arbitration |
| title_auth | Law and practice of international commercial arbitration |
| title_exact_search | Law and practice of international commercial arbitration |
| title_exact_search_txtP | Law and practice of international commercial arbitration |
| title_full | Law and practice of international commercial arbitration by Alan Redfern ; Martin Hunter. With Nigel Blackaby ... |
| title_fullStr | Law and practice of international commercial arbitration by Alan Redfern ; Martin Hunter. With Nigel Blackaby ... |
| title_full_unstemmed | Law and practice of international commercial arbitration by Alan Redfern ; Martin Hunter. With Nigel Blackaby ... |
| title_short | Law and practice of international commercial arbitration |
| title_sort | law and practice of international commercial arbitration |
| topic | Schiedsgerichtsbarkeit (DE-588)4052348-2 gnd Internationale Handelsschiedsgerichtsbarkeit (DE-588)4132605-2 gnd Verfahren (DE-588)4187669-6 gnd Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd Außenhandel (DE-588)4003832-4 gnd |
| topic_facet | Schiedsgerichtsbarkeit Internationale Handelsschiedsgerichtsbarkeit Verfahren Internationale Schiedsgerichtsbarkeit Außenhandel |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=016330584&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
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