International arbitration: law and practice
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Beschreibung: | XXVIII, 480 S. |
ISBN: | 9789041145628 |
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245 | 1 | 0 | |a International arbitration |b law and practice |c Gary B. Born |
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300 | |a XXVIII, 480 S. | ||
336 | |b txt |2 rdacontent | ||
337 | |b n |2 rdamedia | ||
338 | |b nc |2 rdacarrier | ||
650 | 4 | |a Arbitration and award, International | |
650 | 4 | |a Arbitration agreements, Commercial | |
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Datensatz im Suchindex
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adam_text | Table
of Contents
Preface
xxvii
Acknowledgments
xxix
Parti
International Arbitration Agreements
1
Chapter
1
Introduction to International Arbitration
3
§1.01
Definition of International Arbitration
3
[A] What Is Arbitration ?
4
[ 1 ]
Consensual Means to Resolve Disputes
4
[2]
Non-Governmental Decision-Maker Selected by or for the Parties
5
[3]
Final and Binding Decision
S
[4]
Use of Adjudicatory Procedures
6
[B]
Forum Selection Clauses and National Courts
6
[C] Other Forms of Alternative Dispute Resolution
7
[ 1 ]
Mediation and Conciliation
7
[2]
Expert Determination
7
[3]
Mini-Trials and Neutral Evaluation
8
[4]
Baseball or Final-Offer Arbitration
8
[D] International Arbitration
8
§1.02
Reasons for International Arbitration
9
[A] Neutrality
10
[B] Centralized Dispute Resolution
10
[C] Enforceability of Agreements and Awards
11
[D] Commercial Competence and Expertise
12
[E] Finality of Decisions
13
[F] Party Autonomy and Procedural Flexibility
13
[G] Cost and Speed
14
[H] Confidentiality and Privacy of Dispute Resolution
15
[I] Arbitration Involving States and State-Entities
16
§1.03
Popularity of International Arbitration
16
Table of
Contents International
Arbitration: Law and Practice
§ 1.04
Contemporary International Arbitration Conventions
18
[A] New York Convention
18
[B] Inter-American Convention
21
[C] European Convention
22
§ 1.05
Contemporary National Arbitration Legislation
22
[A] Supportive National Arbitration Legislation
23
[B]
1985
UNCITRAL Model Law and
2006
Revisions
24
[C] Less Supportive National Legislation
25
§ 1.06
Ad Hoc and Institutional Arbitration
27
[A] Institutional Arbitration
27
[B] Ad Hoc Arbitration
28
[C] Relative Advantages and Disadvantages of Institutional and Ad Hoc
Arbitration
28
[D] UNCITRAL Arbitration Rules
29
[E] Leading International Arbitral Institutions
29
[1]
International Chamber of Commerce
30
[2]
London Court of International Arbitration
31
[3]
American Arbitration Association/International Centre for Dispute
Resolution
32
[4]
Singapore International Arbitral Centre
32
[5]
ICSID
33
[6]
Permanent Court of Arbitration
33
[7]
Other International Arbitral Institutions
33
§1.07
Elements of International Arbitration Agreements
34
[A] Submission Agreement versus Arbitration Clause
34
[Б]
Critical Elements of International Arbitration Agreements
35
[ 1 ]
The Agreement to Arbitrate
35
[2]
Scope of Arbitration Agreement
36
[3]
Institutional Arbitration Rules
36
[4]
Seat or Place of the Arbitration
37
[5]
Number, Method of Selection and Qualifications of Arbitrators
37
[6]
Language of the Arbitration
38
[7]
Choice-of-Law Clauses
38
[C] Other Provisions of International Arbitration Agreements
39
§ 1.08
Overview of Choice of Law in International Commercial Arbitration
39
[A] Law Applicable to the Substance of the Parties Dispute
39
[B] Law Applicable to the Arbitration Agreement
40
[C] Procedural Law Applicable to the Arbitral Proceedings
40
[D] Choice of Laws Rules Applicable in International Arbitration
41
§1.09
Investor-State Arbitration
41
[A] ICSID Convention
41
[B] Bilateral Investment Treaties
42
§1.10
State-to- State Arbitration
42
V1U
Gary Born Table of Contents
Chapter
2
International Arbitration Agreements: Legal Framework
43
§2.01
Disputes Concerning International Arbitration Agreements
43
[A] Challenges to Existence, Validity and Scope of International Commercial
Arbitration Agreements
43
[B]
Procedural Settings for Jurisdictional Objections
44
[ 1 ]
Consideration of Jurisdictional Objections by Arbitrators
44
[2]
Consideration of Jurisdictional Objections by National Courts
44
§2.02
Jurisdictional Requirements of International and National Commercial
Arbitration Regimes
45
[A] Arbitration Agreement Requirement
45
[B] Commercial Relationship Requirement
45
[C] Disputes or Differences Requirement
46
[D] Existing or Future Disputes Requirement
46
[E] Defined Legal Relationship Requirement
46
[F] Foreign or biternational Arbitration Agreements Requirement
46
[G] Reciprocity Requirements
47
§2.03
Presumptive Validity of International Arbitration Agreements
48
[A] Historic Rules of Unenforceability
48
[B] New York Convention
48
[C] National Arbitration Legislation
49
§2.04
Separability of International Arbitration Agreements
50
[A] Separability Presumption
50
[B] Rationale for Separability Presumption
50
[C] Consequences of Separability Presumption
50
§2.05
Allocation of Competence to Decide Disputes Over Existence, Validity and
Interpretation of International Arbitration Agreements
51
[A] Competence-Competence Doctrine
52
[B] Allocation of Competence to Decide Jurisdictional Disputes
52
[ 1 ]
France
:
Prima
Facie Jurisdiction
52
[2]
United States: Interlocutory Judicial Decisions
53
[3]
UNCITRAL Model Law: Diversity of Approaches
54
§2.06
Law Applicable to Formation, Validity and Interpretation of International
Arbitration Agreements
55
[A] Law of Judicial Enforcement Forum
55
[B] Law Chosen by Parties
55
[C] Law of Arbitral Seat
56
[D] Validation Principle
56
[E] International Law
56
[F] Other Choice-of-Law Issues
57
[ 1 ]
Formal Validity
57
[2]
Capacity
57
[3]
Non-Arbitrability
58
[4]
Non-
Signatory Issues
58
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§2.07
Effects of International Arbitration Agreements
58
[A] Positive Effects of Arbitration Agreement: Obligation to Arbitrate in
Good Faith
59
[ 1 ]
Source of Positive Obligations to Arbitrate
59
[2]
Content of Positive Obligation to Arbitrate
59
[3]
Remedies for Breach of Positive Obligation to Arbitrate
61
[B] Negative Effects of Arbitration Agreement: Obligation Not to Litigate
62
[ 1 ]
Negative Obligations under Agreement to Arbitrate
62
[2]
Remedies for Breach of Negative Obligation Not to Litigate
Arbitrable Disputes: Stay or Dismissal of Litigation
63
[3]
Remedies for Breach of Negative Obligation Not to Litigate
Arbitrable Disputes: Antisuit Injunction
64
[4]
Remedies for Breach of Negative Obligation Not to Litigate
Disputes: Damages for Breach of Obligation Not to Litigate
66
[5]
Remedies for Breach of Negative Obligation Not to Litigate
Disputes: Non-Recognition of Judgments
66
[C] Anti-Arbitration and
Anti-
Suit Orders
61
Chapter
3
Formation and Validity of International Arbitration Agreements
69
§3.01
Formation of International Arbitration Agreements
69
[A] Consent to Arbitration Agreement
69
[B]
Standard of Proof for International Arbitration Agreements
70
[C] Essential Terms of Arbitration Agreements
70
[ 1 ]
Agreement to Arbitrate
71
[2]
Incidental Terms
71
[3]
Blank Clauses
71
[D] Pathological Arbitration Clauses
71
[ 1 ]
Indefinite Arbitration Agreements
72
[ 2 ]
Arbitration Agreements Referring to Non-Existent Arbitral
Institutions, Arbitration Rules, or Arbitrators
72
[3]
Internally Contradictory Arbitration Agreements
73
[4]
Optional or Non-Mandatory Arbitration Agreements
73
[E] Formal Validity of International Arbitration Agreements
73
[ 1 ]
Written Form Requirement
-
New York Convention
74
[2]
Written Form Requirement
-
National Arbitration Legislation
74
[3]
UNCITRAL Model Law, Article
7
(and Revisions)
74
[4]
Relationship between New York Convention and National Law
75
[5] 2006
UNCITRAL Recommendations
76
[6]
Incorporation of Arbitration Agreement
76
[F] Substantive Validity of International Arbitration Agreements
77
[ 1 ]
Null and Void/ Inoperable and Incapable of Being Performed
77
[2]
Unconscionability and Duress
78
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[3]
Fraudulent Inducement or Fraud
*■ 79
[4]
Impossibility and Frustration
79
[5]
lUegaUty
79
[6]
Lack of Capacity
80
[7]
Termination and Repudiation
80
[8]
Waiver of Right to Arbitrate
81
[9]
Inconvenient Arbitral Seat
81
§3.02
The Non-Arbitrability Doctrine
82
[A] Basis for Non-Arbitrability Doctrine
82
[B] Applications of Non-Arbitrability Doctrine
82
[l] Competition and Antitrust Claims
83
[2]
Securities Claims
83
[3]
Bankruptcy
83
[4]
Employment Contracts
84
[5]
Consumer Disputes
84
[6]
Other
Non-
Arbitrable Disputes
85
[C] Choice of Law Governing Non-Arbitrability
85
[D] Non-Arbitrability Issues in Annulment or Enforcement of Awards
85
Chapter
4
Interpretation of International Arbitration Agreements
87
§4.01
Scope of Arbitration Agreements
87
[A] Rules of Construction
88
[l] Pro-Arbitration Rules of Construction
88
[2]
Anti-
Arbitration Rules of Construction
88
[B]
Recurrent Issues
89
[ 1 ]
Commonly-Used Formulae in Arbitration Agreements
89
[2]
Broad versus Narrow Arbitration Clauses
90
[3]
Tort Claims
90
[4]
Statutory Claims
91
[5]
Multiple Contracts
91
§4.02
Incorporation of Institutional Arbitration Rules
92
§4.03
Allocation of Competence to Interpret International Arbitration Agreements
93
Chapter
5
International Arbitration Agreements:
Non-
signatory Issues
95
§5.01
Non-
Signatories to Arbitration Agreements
95
[A] Agency
96
[B] Alter Ego and Veil-Piercing
96
[C] Group of Companies
97
[D] Succession
97
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[E]
Assignment or Transfer
98
[F] Estoppel
98
[G] Corporate Officers and Directors
99
§5.02
Formal Validity and
Non-
Signatories
99
§5.03
Choice of Law Governing
Non-
Signatory Issues
100
§5.04
Allocation of Competence to Decide Non-Signatory Issues
100
§5.05
Non-
Signatory Issues and Institutional Arbitration Rules
101
Part II
International Arbitral Pro
с
codings
103
Chapter
6
International Arbitral Proceedings: Legal Framework
105
§6.01
Meaning and Importance of the Arbitral Seat
105
[A] Location of Arbitral Seat
106
[B] Arbitral Seat Distinguished from Location of Hearings
106
[C] Territorial Structure of National Arbitration Legislation
107
[D] Issues Governed by Law of Arbitral Seat
108
[ 1 ]
Internal Procedures in the Arbitration: Due Process
Requirements of Arbitral Seat
108
[2]
External Relationship with National Courts: Supervisory
Authority of Courts of Arbitral Seat
109
[i] Annulment of Award
109
[ii] Qualifications, Selection and Removal of Arbitrators
110
[iii]
Interlocutory Jurisdictional Disputes
110
[iv]
Provisional Measures and Evidence-Taking
110
[v] Procedural and Other Mandatory Requirements 111
[E] Civil Procedure Rules of Arbitral Seat Not Applicable 111
§6.02
Applicable Procedural Law in International Arbitration 111
[A] Definition of Procedural Law
112
[B] Procedural Law of Arbitration Is Not Local Civil Procedure Rules
112
[C] Choice of Procedural Law Other than That of Arbitral Seat
112
[D] Consequences of Choice of Foreign Procedural Law
113
§6.03
Selection of Arbitral Seat
114
[A] Selection of Arbitral Seat by Parties Agreement
114
[B] Selection of Arbitral Seat by Arbitrators or Arbitral Institution
115
[C] Selection of Arbitral Seat by National Courts
116
§6.04
Choice of Arbitral Seat
117
[A] Considerations Relevant to Choice of Arbitral Seat
117
[ 1 ]
Contracting Party of New York Convention
117
[2]
Standards for Annulment of Arbitral Awards
117
[3]
Supportive National Arbitration Regime
118
[4]
Effect on Selection of Arbitrators
118
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[ 5 ]
Effects on Procedural and Substantive Laws
118
[6]
Convenience and Cost
119
[B] Arbitral Seats Commonly Chosen in Practice
119
Chapter
7
Selection and Removal of Arbitrators in International Arbitration
121
§7.01
Selection of Arbitrators in International Arbitration
121
[A] Parties Autonomy in Selection of Arbitrators
122
[ 1 ]
Party Autonomy to Select Arbitrators under New York Convention
122
[2]
Party Autonomy to Select Arbitrators under National Arbitration
Legislation
122
[ 3 ]
Party Autonomy to Select Arbitrators under Institutional Rules
123
[4]
Consequences of Failure to Comply with Contractual Appointment
Mechanism for Arbitrator
123
[B] Exercise of Parties Autonomy to Select Arbitrators
124
[l] Number of Arbitrators
124
[i] Sole Arbitrator
124
[ii] Three Arbitrators
124
[iii]
Default Rules on Number of Arbitrators
125
[2]
Method of Selection of Arbitrators
125
[i] Selection of Co-Arbitrator
125
[ii] Interview of Prospective Arbitrators
126
[iii]
Party
s
Failure to Select Co-Arbitrator
126
[iv]
Selection of Sole or Presiding Arbitrator by Parties
127
[v] Selection of Arbitrator by Arbitral Institution
128
[vi]
Selection of Sole or Presiding Arbitrator by National Court
129
[C] Restrictions Concerning Arbitrators Impartiality, Nationality,
Qualifications and Experience under National Law
129
[ 1 ]
Requirements for Arbitrators Independence and Impartiality
130
[i] Requirements for Arbitrators Independence and Impartiality
under National Arbitration Legislation
130
[ii] Requirements for Arbitrators Independence and Impartiality
under Institutional Arbitration Rules
130
[iii]
Standards of Impartiality and Independence for Co-Arbitrators
and Presiding Arbitrator
131
[iv]
IBA
Guidelines on Conflicts of Interest
132
[v] Disclosure Obligations of Arbitrators
133
[vi]
Grounds for Finding Lack of Impartiality
134
[2]
Nationality of Sole and Presiding Arbitrators
136
[3]
Natural Persons and Legal Capacity
136
[4]
Legally Qualification and Civil Rights
137
[ 5 ]
Arbitrator Must Not Be a National Court Judge
137
[D] Contractual Limitations on Arbitrators Qualifications
137
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Arbitration: Law and Practice
[ 1 ]
Contractual Nationality Requirements
137
[2]
Contractual Language Requirements
137
[3]
Expertise and Accreditation Requirements
138
[4]
Legal Qualifications
138
[5]
Prohibitions against Legal Qualifications
138
§7.02
Procedures for Challenging Arbitrators
138
[A] Institutional Challenges
139
[B] Interlocutory Challenges in National Courts
140
[C] Waiver of Rights to Object to Arbitrator
141
§7.03
Replacement of Arbitrators
141
§7.04
Truncated Tribunal
142
§7.05
Arbitrators Rights and Duties
144
§7.06
Arbitral Immunity
145
Chapter
8
Procedural Issues in International Arbitration
147
§8.01
Applicable Procedural Law in International Arbitration
147
§ 8.02
Parties Procedural Autonomy in International Arbitration
148
[A] New York Convention
148
[B] National Arbitration Legislation
148
[C] Institutional Rules
149
§8.03
Arbitrators Procedural Discretion in International Arbitration
149
[A] New York Convention
150
[B] National Arbitration Legislation
150
[C] Institutional Rules
151
§8.04
Mandatory Procedural Requirements in Arbitral Proceedings
152
[A] New York Convention
152
[B]
National Arbitration Legislation
152
§ 8.05
Limited Grounds for Interlocutory Judicial Review of Arbitrators Procedural
Decisions
154
[A] Principle of Judicial Non-interference in Arbitral Proceedings
154
[B] Limited Grounds for Judicial Intervention or Assistance
155
§ 8.06
Arbitrators Exercise of Procedural Authority in International Arbitration
156
[A] No General Procedural Code for International Arbitrations
156
[B]
Arbitral Tribunals Exercise of Discretion Over Arbitral Procedures
156
§ 8.07
Major Procedural Steps in International Arbitral Practice
158
[A] Notice of Arbitration or Request for Arbitration
158
[B] Reply and Counterclaims
160
[C] Constitution of Arbitral Tribunal and Challenges
160
[D] Presiding Arbitrator s Procedural Authority
160
[E] Written Communications with Arbitral Tribunal during Proceedings
160
[F] Jurisdictional Objections
161
[G] Language of the Arbitration
161
XIV
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[H] Initial
Procedural Conference
161
[I] Procedural Timetable and Time Limits
161
[j] Bifurcation or Other Segmentation of Proceedings
162
[K] ICC Terms of Reference
163
[L] Advance on Costs or Deposits
163
[M] Introduction of New Claims and Defenses
163
[N] Disclosure or Discovery
164
[O] Written Submissions
165
[P] Documentary Evidence
165
[Qj Written Witness Statements
165
[R] Evidentiary Hearings and Time Limits
166
[S] Transcripts and Minutes
168
[T] Fact Witnesses
168
[U] Expert Witnesses
170
[V] Witness-Conferencing
170
[W] Post-Hearing Written Submissions
170
[X] Closing of Arbitral Proceedings
171
[Y] Ex Parte
Proceedings and Default Awards
171
[Z] Deliberations of Arbitrators
172
[AA] Making and Notification of Award
173
§8.08
Evidentiary Rules and Burden of Proof
173
§8.09
Costs of the Arbitration
175
Chapter
9
Disclosure and Evidence-Taking in International Arbitration
177
§9.01
Authority of Arbitral Tribunal over Disclosure and Evidence-Taking
177
[A] National Arbitration Legislation
178
[1]
UNCITRAL Model Law
178
[2]
Other National Legislation
178
[3]
Arbitral Tribunal s Implied Authority
179
[4]
Arbitral Tribunal Not Limited to Disclosure and Evidence-Taking
Authority of Local Courts
180
[B] Institutional Arbitration Rules
180
[1]
LCIA Rules
180
[2]
UNCITRAL Rules
181
[3]
ICC Rules
181
[C] Arbitral Tribunals Disclosure Powers Generally Limited to Parties
182
[D] Arbitral Tribunals Exercise of Discretion to Order Disclosure and
Structure Evidence-Taking
182
[l] Availability and Scope of Disclosure:
Chai
Law versus Common Law
183
[2]
No Automatic Right of Parties to Request Disclosure
184
[3]
Commonly-Used Procedural Frameworks for Document Disclosure
185
[4]
Scope of Disclosure
186
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[ 5 ]
Privilege in International Arbitration
187
[6]
Electronic Disclosure
188
[E] Sanctions for Failure to Comply with Disclosure and Other Orders
188
§9.02
Role of National Courts in Obtaining Evidence for Use in International
Arbitrations
189
[A] National Arbitration Legislation
189
[ 1 ]
UNCITRAL Model Law
189
[2]
Other National Arbitration Legislation
190
[3]
United States
190
[B] Judicial Assistance in Evidence-Taking in Foreign Arbitrations
192
[1]
Section
1782 192
[ 2 ]
О
ther National Arb itration Legislatio
η
193
[C]
Inapplicability of Hague Evidence Convention to Evidence-Taking in
International Arbitration
193
Chapter
10
Confidentiality and Transparency in International Arbitration
195
§10.01
Confidentiality versus Privacy
195
§10.02
Confidentiality Under National Arbitration Legislation
196
[A] National Arbitration Legislation Generally Silent on Confidentiality
196
[B] Choice of Law Governing Confidentiality
196
[C] Parties Autonomy with Regard to Confidentiality
196
[D] Implied Obligations of Confidentiality
197
[ 1 ]
Recognition of Implied Confidentiality Obligations
197
[2]
Non-Recognition of Implied Confidentiality Obligations
198
§ 10.03
Confidentiality under Institutional Arbitration Rules
199
§10.04
Confidentiality of Arbitrators Deliberations
200
§ 10.05
Confidentiality in Investor-State Arbitration
200
Chapter
11
Provisional Measures in International Arbitration
203
§11.01
Arbitrators Authority to Order Provisional Relief
203
[A] Effect of National Arbitration Legislation on Arbitrators Authority to
Order Provisional Measures
203
[B] Law Applicable to Arbitrators Authority to Order Provisional Measures
205
[C] Effect of Institutional Arbitration Rules on Authority of Arbitrators to
Order Provisional Relief
205
[D] Limitations on Arbitrators Authority to Order Provisional Relief
206
[ 1 ]
Arbitrators Authority Limited to Parties
206
[2]
Arbitrators Lack of Enforcement Authority
206
[З]
Limitations on Arbitrators Authority
206
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[4]
No Interim Relief Until Tribunal is Constituted
ř
207
[E]
Arbitrators Exercise of Authority to Order Provisional Relief
207
[1]
Irreparable or Serious Injury
208
[2]
Urgency
208
[3]
No Prejudgment of the Merits
208
[4]
Prima
Facie Case or Probability of Success on Merits
209
[5]
Jurisdiction
209
[6]
Tribunals Discretion Regarding Type of Provisional Measures
209
[7]
Categories of Provisional Measures
210
[8]
Ex Parte
Provisional Measures
210
[F] Specialized Institutional Arbitration Rules for Expedited Action
210
§11.02
Judicial Enforcement of Provisional Measures Ordered by Arbitrators
211
[A] Status of Provisional Measures as Final Awards
211
[B] Specialized National Arbitration Legislation Permitting Enforcement of
Provisional Measures
212
§ 11.03
Provisional Measures Ordered by National Courts in Aid of Arbitration
213
[A] Effect of the New York Convention on the Authority of National Courts
to Grant Provisional Relief in Aid of International Arbitrations
213
[ 1 ]
Judicial Decisions Holding That Article
П(3)
Forbids Court-
Ordered Provisional Measures
213
[2]
Judicial Decisions Holding That Article
11(3)
Permits Court-
Ordered Provisional Measures
214
[B] Effect of National Arbitration Legislation on Authority of National
Courts to Grant Provisional Relief in Aid of International Arbitration
215
[C] Effect of Institutional Rules on Authority of National Courts to Grant
Provisional Relief in Aid of International Arbitration
216
[D] Application for Court-Ordered Provisional Measures Does Not
Ordinarily Waive Right to Arbitrate
217
[E] Choice of Law Applicable to Court-Ordered Provisional Measures
217
§ 11.04
Appropriate National Court to Grant Pre-Award Provisional Measures in Aid
of an International Arbitration
218
Chapter
12
Multiparty and Multicontract Issues in International Arbitration
221
§ 12.01
Consolidation, Joinder and Intervention: General Considerations
221
§ 12.02
Consolidation, Joinder and Intervention Under National Arbitration Legislation
222
[A] Consolidation and Joinder/Intervention Pursuant to Parties Arbitration
Agreement
223
[B] Nature of Agreement Required for Consolidation and Joinder/Intervention
225
[C] Consolidation or Joinder/Intervention under National Law in Absence
of Parties Agreement
226
§ 12.03
Consolidation, Joinder and Intervention Under Institutional Rules
227
[A] Consolidation under ICC Rules
227
XVII
Table of Contents International Arbitration: Law and Practice
[B] Joinder and/or Intervention under LCIA Rules
228
[C] Consolidation under Swiss Rules of International Arbitration
228
§12.04
Consolidation and Joinder/Intervention: Selection of Arbitral Tribunal(s)
229
§ 12.05
Multicontract Issues in International Arbitral Proceedings
23
1
Chapter
13
Choice of Substantive Law in International Arbitration
233
§ 13.01
Arbitral Tribunals Authority to Select Applicable Substantive Law
234
[A] National Arbitration Legislation
234
[B] Institutional Arbitration Rules
234
§ 13.02
Choice of Substantive Law in Absence of Agreement on Applicable Law
235
[A] Choice of Substantive Law under National Arbitration Legislation in
Absence of Choice-of-Law Agreement
23$
[B] Choice of Substantive Law under Institutional Arbitration Rules in
Absence of Choice-of-Law Agreement
236
[C] Relationship between Institutional Arbitration Rules and National Law
237
[D] Choice-of-Law Rules Applied by Arbitral Tribunals in Absence of
Choice-of-Law Agreement
237
[ 1 ]
Choice-of-Law Rules of Arbitral Seat
238
[2]
Choice-of-Law Rules that Arbitral Tribunal Considers Appropriate
239
[ 3 ]
Cumulative Application of Choice-of-Law Rules
239
[4]
Application of Substantive Law of State with Closest Connection to
Dispute
240
[5 ]
Choice-of-Law Rules of the State Most Closely Connected to
Underlying Dispute
240
[6]
International Choice-of-Law Rules
240
[7]
Application of Non-National Legal System in Absence of Parties
Choice
-
of-Law Agreement
241
[E] Direct Application of Substantive Law
242
[F] Distinction between Matters of Substance and Procedure
242
[1]
Burden of Proof
243
[2]
Statutes of Limitations
243
[З]
Damages and Remedies
243
[G] Trade Usages
243
§13.03
Choice of Law Governing the Merits of the Parties Dispute Pursuant to
Choice-of-Law Agreements
244
[A] Presumptive Validity of Choice-of-Law Agreements
244
[ 1 ]
Presumptive Validity of Parties Choice- of-Law Agreement
Selecting Substantive Law under International Conventions
245
[2]
Presumptive Validity of Parties Choice-of-Law Agreements
Selecting Substantive Law under Arbitration Legislation
245
[ 3 ]
Presumptive Validity of Parties Choice-of-Law Agreement
Selecting Substantive Law under Institutional Arbitration Rules
246
XVIII
Table
of
Contents
[B]
Public
Policy Limitations on Parties Choice of Law in International
Arbitration
246
[ 1 ]
Mandatory Laws and Public Policy
247
[2]
Content of Public Policy and Mandatory Law
247
[3]
Foreign Mandatory Laws and Public Policies
248
[4]
Authority of Arbitrator to Consider Mandatory Law or Public Policy
248
[C] Implied Choice-of-Law Agreements
249
[D] Defects in Formation of Choice-of-Law Agreement
251
[E] Other Grounds for Challenging Choice-of-Law Agreements
251
§ 13.04
Choices of Substantive Law in Choice-of-Law Agreements
251
[A] Considerations Affecting Choice of Substantive Law
251
[B] Choice of Multiple or Overlapping National Laws
252
[C] Split Choice-of-Law Clauses
253
[D] Choice of Floating National Law
253
[E] Non-National Choice-of-Law Agreements
253
[1]
General Principles of Law
254
[2]
Lex Mercatoria
254
[3]
UNIDROIT Principles of International Commercial Contracts
255
[F] Stabilization Clauses
255
[G] Amiable Composition and
Ex Aequo et
Bono
255
§13.05
Interpretation of Choice-of-Law Agreements
256
[A] Stand-Alone Character of Choice-of-Law Clause
256
[B]
Ihe Legal Rules Selected by Choice-of-Law Agreements
257
[ 1 ]
Renvoi
versus Whole Law
:
Does the Choice-of-Law Agreement
Select Substantive Rules or Conflict of Laws Rules?
257
[2]
Procedural Law of the Arbitration
257
[3]
Procedural Issues
257
[4]
Non-
Contractual Issues
258
§ 13.06
Minimal Judicial Review of Arbitrators Choice of Law Decisions
259
Chapter
14
Legal Representatives and Professional Responsibility in International Arbitration
261
§ 14.01
Right to Counsel in International Arbitration
261
[A] Rights to Legal Representation of Party
s
Choice
261
[B] National Law Restrictions on Legal Representation
262
§14.02
Exercise of Rights to Representation
264
§14.03
Standards and Supervision of Professional Conduct
265
[A] Recurrent Professional Conduct Issues
265
[l] Witness Interviews and Preparation
265
[2]
Conflicts of Interest
266
[3]
Contingent Fees and Other Fee Arrangements
267
[4]
Lawyer-Client Privilege and Communications with Opposing Counsel
267
[5]
Settlement Communications
268
xix
Table of
Contents International
Arbitration: Law and Practice
[6]
Candor and Honesty
268
[B] Choice of Law Governing Professional Conduct Issues
268
[C] Choice of Forum Governing Professional Conduct Issues
269
Part III
International Arbitral Awards
271
Chapter
15
International Arbitral Awards: Legal Framework
275
§ 15.01
Legal Framework for International Arbitral Awards
275
[A] New York Convention
275
[l] Elimination of Double Exequatur
275
[2]
Presumptive Obligation to Recognize and Enforce Awards
276
[3]
Limited, Exclusive Grounds for Non-Recognition with Burden of
Proof on Award Debtor
276
[4]
Limits on Forums for Annulment
276
[5]
Optional and Permissive Non-Recognition
276
[B] National Arbitration Legislation
276
§15.02
Definition of Arbitral Award
278
[A] Decision Resulting from an Agreement to Arbitrate
278
[B] Award by the Arbitral Tribunal
278
[C] Awards Distinguished from Procedural Orders
279
[D]
Jurisdictional Awards
280
[E] Decisions Concerning Preliminary Substantive Issues
280
§ 15.03
Formal Requirements for International Arbitral Awards
281
[A] Writing, Place, Date and Signature Requirements
282
[B]
Reasons for Award
283
[C] Consequences of
Non-
Compliance with Statutory Form Requirements
285
[D] Form Requirements under Institutional Rules
285
[E] Language of Award
285
§15.04
Types of Awards
285
[A] Final Awards
286
[B] Partial Awards
286
[C] Interim Awards
287
[D] Consent Awards
287
[E] Default Awards
288
[F] Additional Awards
288
[G] Corrections and Interpretations
288
[H] Termination of Arbitral Proceedings Without An Award
289
[i] Maj
ority Awards and Awards by Presiding Arbitrator
289
[
j] Dissenting, Concurring and Separate Opinions
290
§ 15.05
Time Limits, Service and Publication of International Arbitral Awards
292
[A] Time Limits for Making Awards
292
xx
Gary Born Table of Contents
[B] Delivery, Service, or Notification of Awards
293
[C] Registration of Awards
294
§15.06
Relief Granted in Arbitral Award
294
[A] Arbitrator s Remedial Authority
295
[B] Monetary Awards
295
[C] Other Relief
296
[D] Interest
297
[E] Costs
298
[ 1 ]
Awards of Costs of Arbitration under National Arbitration Legislation
298
[2]
Awards of Costs of Arbitration under Institutional Rules
299
§15.07 Fundus
Officio
Doctrine
301
Chapter
16
Annulment of International Arbitral Awards
303
§ 16.01
Presumptive Finality of International Arbitral Awards
303
[A] Presumptive Validity of Arbitral Awards under UN CITRAL Model Law
304
[l] Article
34
Provides Exclusive Grounds of Annulment
304
[2]
Article
34
Grounds for Annulment Are Discretionary
305
[З]
Party Seeking Annulment under Article
34
Generally Bears Burden
of Proof
305
[B] Presumptive Validity of Arbitral Awards under FAA
305
[C] Presumptive Validity of Arbitral Awards under Other National
Arbitration Legislation
306
§ 16.02
Limits on Forums for Annulling International Arbitral Awards
307
[A] New York Convention Limits on Forums for Annulling Awards
307
[ 1 ]
Article V(
1 )
(e) and VI Limits on Forums for Annulling Awards
307
[2]
Forums Where Annulment Is Permitted
308
[i] Country Where Award Is Made
308
[ii] Place Under the Law of Which an Award Is Made
309
[B] National Law Limits on Forums for Seeking to Annul International
Arbitral Awards
310
§ 16.03
Annulment of International Arbitral Awards
311
[A] Annulment Governed by Domestic Law of Arbitral Seat
311
[B] Grounds for Annulment under National Law
312
[ 1 ]
No Valid Arbitration Agreement
313
[i] Standards for Recognition of Arbitration Agreements
Generally Applicable
313
[ii] Choice of Law
314
[iii]
Preclusive
Effect of Arbitrators jurisdictional Award: Positive
Juris dictional Awards
314
[iv]
Preclusive
Effect of Arbitrators Jurisdictional Award: Negative
Jurisdictional Awards
315
[2]
Excess of Authority
315
xxi
Table
of
Contents International
Arbitration: Law and Practice
[З]
Denial of the Opportunity to Present Party s Case
317
[i] Distinguished from Violation of Parties Agreed Arbitral
Procedures
317
[ii] Applicable Standards of Procedural Fairness
318
[iii]
Deference to Parties Agreed Arbitral Procedures
319
[iv]
Deference to Arbitrators Procedural Discretion
319
[v] Waiver
319
[4]
Failure to Comply with Parties Agreed Procedures
320
[5]
Failure to Comply With Procedures Prescribed by Law of Arbitral Seat
322
[6]
Lack oflmpartiality, Bias and Misconduct of the Arbitrator and Fraud
323
[7]
Awards Contrary to Public Policy
325
[8]
Disputes Not Capable of Settlement by Arbitration
326
[9]
Fraud ~
327
[C] National Arbitration Legislation Providing Grounds for Annulment
More Expansive than under UNCITRAL Model Law
328
[l] Substantive Review of Merits of Arbitrators Decision
329
[2]
Internally-Contradictory Awards
332
[3]
Formal Defects
332
[4]
Other Grounds for Annulment
333
[D] National Arbitration Legislation Providing Grounds for Annulment Less
Expansive than under UNCITRAL Model Law
334
§ 16.04
Agreements Waiving Right to Seek Annulment of International Arbitral Award
334
[A] Agreements Excluding or Limiting Applications to Annul International
Arbitral Award
334
[ 1 ]
National Arbitration Legislation Permitting Agreements to Exclude
or Limit Annulment
335
[2]
National Arbitration Legislation Invalidating Agreements to
Exclude or Limit Annulment
336
[3]
Interpretation of Agreements to Exclude or Limit Annulment
337
[B] Agreements for Heightened Judicial Review of International Arbitral Awards
337
§ 16.05
Consequences of Annulling International Arbitral Award
338
[A] Authorities Permitting Recognition of Annulled Awards
338
[ 1 ]
Recognition of Annulled Awards in European Jurisdictions
339
[2]
Recognition of Annulled Awards in United States
340
[3]
Judicial Decisions Refusing to Recognize Annulled Awards
341
§ 16.06
Corrections, Interpretation and Supplementation of International Arbitral Awards
342
[A] Correction of Awards
342
[ 1 ]
Correction of Awards under National Arbitration Legislation
342
[i] UNCITRAL Model Law
342
[ii] Other National Arbitration Legislation
343
[iii]
Federal Arbitration Act
343
[2]
Correction of Awards under Institutional Arbitration Rules
343
[3]
Status of Arbitral Tribunals Corrections
344
[B] Interpretation of International Arbitral Awards
345
[ 1 ]
National Arbitration Legislation
345
xxii
Table of
Contents
[2]
Institutional Arbitration Rules
346
[C]
Supplementation of International Arbitral Awards
346
[1]
National Arbitration Legislation
346
[2]
Institutional Arbitration Rules
347
[D] Remission of International Arbitral Award to Arbitral Tribunal
348
[E] Revocation of Fraudulently-Obtained Arbitral Awards
348
[F] Internal Review and Appeal Proceedings
349
§ 16.07
Preclusive
Effects of Arbitral Award
349
[A] Principles of Preclusion in International Arbitration
350
[l] Common Law Jurisdictions
350
[2]
Civil Law Jurisdictions
351
[B]
Preclusive
Effects of International Arbitral Awards
352
[ 1 ]
Preclusive
Effects of International Arbitral Awards under the New
York Convention
353
[2]
Preclusive
Effects of International Arbitral Awards under
UNCITRAL Model Law
354
[3]
Preclusive
Effects of International Arbitral Awards in the United States
355
[4]
Preclusive
Effects of International Arbitral Awards in Other
Common Law Jurisdictions
356
[5]
Preclusive
Effects of International Arbitral Awards in Civil Law
Jurisdictions
357
[6]
Choice of Law Governing
Preclusive
Effect of Arbitral Awards
358
[C]
Preclusive
Effects of National Court Judgments
359
[D] Jurisdictional Decisions
361
[ 1 ]
Allocation of Competence between Arbitral Tribunals and National
Courts to Decide Jurisdictional Issues
361
[i] Arguable
Preclusive
Effect of Jurisdictional Decision by
National Court
362
[ii] Lack of
Preclusive
Effect of Jurisdictional Determination by
National Court
363
[E] Role of Precedent in International Arbitration
365
Chapter
17
Recognition and Enforcement of International Arbitral Awards
369
§17.01
Jurisdictional Requirements of International and National Arbitration Regimes
369
[A] Award Requirement
369
[B] Commercial Relationship
370
[C] Defined Legal Relationship
370
[D] Foreign, Non-Domestic and International Awards
370
[1]
New York Convention
371
[i] Foreign Awards
371
[ii] Non-Domestic Awards
372
[2]
National Arbitration Legislation
373
ХХШ
Table
of
Contents International
Arbitration: Law and Practice
1
[E]
Reciprocity Requirements under International Conventions
374
§17.02
Proof of Foreign Arbitral Awards
375
[A] Proof of Award under New York Convention
375
[B] Proof of Award under National Arbitration Legislation
377
§ 17.03
Presumptive Obligation to Recognize International Arbitral Awards
377
[A] Presumptive Obligation to Recognize Awards under New York Convention
377
[B] Obligation to Recognize Awards under National Arbitration Legislation
379
§ 17.04
New York Convention Provides Exclusive Grounds for Non-Recognition of
Foreign Arbitral Award
379
[A] Article
V s
Exclusive Grounds for Non-Recognition
380
[B] Burden of Proof of Grounds for Non-Recognition
380
[C] No Double Exequatur Requirement under New York Convention
381
[D] No Obligation under New York Convention to Deny Recognition of Awards
381
[E] No Judicial Review of Merits of Arbitrator
s
Decision
382
§ 17.05
Grounds for Refusing to Recognize International Arbitral Awards
383
[A] No Valid Arbitration Agreement
384
[l] General Principles
384
[2]
Burden of Proof
385
[З]
Preclusive
Effects of Jurisdictional Award 38S
[4]
Waiver
386
[B] Excess of Authority
387
[C] Denial of the Opportunity to Present Party s Case
389
[l] General Principles
389
[2]
Party Autonomy and Arbitral Tribunals Procedural Discretion
390
[3]
Choice of Law
391
[4]
Waiver and Preclusion
392
[D] Irregular Procedural Conduct of the Arbitration
393
[ 1 ]
Parties Agreed Arbitral Procedures
393
[2]
Agreed Arbitral Procedures and Mandatory Law in Arbitral Seat
394
[3]
Procedural Law of Arbitral Seat
395
[4]
Waiver and Preclusion
396
[E] Lack of Independence, Bias and Misconduct of the Arbitrators and Fraud
397
[l] General Principles
397
[2]
Effects of Prior Institutional Challenge of Arbitration
398
[3]
Waiver
399
[F] Award Annulled in Arbitral Seat
400
[G] Award Not Binding
400
[H] Award Contrary to Public Policy
401
[l] General Principles
402
[2]
Choice of Law
402
[3]
Restrictive Approach to Public Policy
403
[I] Disputes Not Capable of Settlement by Arbitration
404
§ 17.06
Limits on Forums for Seeking Recognition or Enforcement of International
Arbitral Awards
406
XXIV
GgixBorn___
_____________________________________________
Table of
Contents
[A] No Limits in New York Convention on Forums for Seeking Recognition
or Enforcement of Arbitral Awards
406
[B] National Law Limits on Forums for Seeking Recognition or Enforcement
of International Arbitral Awards
406
517.07
Suspension of Recognition Proceedings Pending Resolution of Application to
Annul Award in Arbitral Seat
407
Chapter
18
Investor-State and State-to-State Arbitration
411
§18.01
Investor-State Arbitration
411
[A] Introduction
411
[ 1 ]
Contemporary Foreign Investment Treaties
412
[i] ICSID Convention
412
[ii] North American Free Trade Agreement
413
[iii]
ASEAN Comprehensive Investment Agreement
414
[iv]
Energy Charter Treaty
415
[v] Bilateral Investment Treaties
415
[vi]
Investment Protection Legislation
416
[2]
Distinguishing Characteristics of Investor-State Arbitration
416
[ 3 ]
Popularity of Investor- State Arbitration
418
[4]
Criticism of Investor-State Arbitration
419
[B]
Jurisdictional Issues in Investment Arbitration
420
[l] ICSID Jurisdictional Requirements
420
[i] Legal Dispute Arising out of an Investment
421
[ii] Nationality Requirement
421
[iii]
Written Consent to ICSID Arbitration
423
[iv]
ICSID Additional Facility Rules
424
[2]
BIT Jurisdictional Requirements
425
[i] No Separate Consent by Host State
425
[ii] Nationality Requirement
425
[iii]
Investment
426
[iv]
Compliance with Host State Law
426
[v] Exclusions
426
[3]
Notice and Other Requirements
426
[ij Notice and Cooling Off Periods
426
[ii] Fork in the
Roaď
Provisions
427
[iii]
Exhaustion Requirements
427
[C] Umbrella Clauses
427
[D] Substantive Issues in Investor-State Disputes
429
[ 13
Substantive Claims in Investor- State Arbitrations
429
[2]
Defenses in Investor-State Arbitration
433
[E] Arbitral Procedures in Investor-State Arbitration
436
[F] Applicable Law in Investment Arbitration
437
xxv
I
Table
of
Contents International
Arbitration: Law and Practice
[G]
Finality of Awards
437
[1]
ICSID Awards
437
[2]
Non-ICSID Awards
438
[H] Enforcement of Awards
438
§18.02
State-To-State Arbitration
439
[A] Historical Background
439
[B] Reasons for State-to-State Arbitration
440
[C] Jurisdiction in State-to-State Arbitrations
441
[D] Procedures in State-to-State Arbitration
442
[E] Applicable
Lawin
State-to-State Arbitration
443
[F] Finality of Awards and Enforcement
443
Annex I
United Nations Convention on the Recognition and Enforcement of Foreign
Arbitral Awards ( New York Convention )
445
Annex II
UNCITRAL Model Law on International Commercial Arbitration
- 2006
Revisions
448
Annex III
UNCITRAL Model Law on International Commercial Arbitration
452
Index
459
XXVI
|
any_adam_object | 1 |
author | Born, Gary 1955- |
author_GND | (DE-588)133641066 |
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dewey-sort | 3341.5 222 |
dewey-tens | 340 - Law |
discipline | Rechtswissenschaft |
format | Book |
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publisher | Wolters Kluwer Law & Business [u.a.] |
record_format | marc |
spelling | Born, Gary 1955- Verfasser (DE-588)133641066 aut International arbitration law and practice Gary B. Born Alphen aan den Rijn Wolters Kluwer Law & Business [u.a.] 2012 XXVIII, 480 S. txt rdacontent n rdamedia nc rdacarrier Arbitration and award, International Arbitration agreements, Commercial Digitalisierung UB Passau - ADAM Catalogue Enrichment application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=025414417&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
spellingShingle | Born, Gary 1955- International arbitration law and practice Arbitration and award, International Arbitration agreements, Commercial |
title | International arbitration law and practice |
title_auth | International arbitration law and practice |
title_exact_search | International arbitration law and practice |
title_full | International arbitration law and practice Gary B. Born |
title_fullStr | International arbitration law and practice Gary B. Born |
title_full_unstemmed | International arbitration law and practice Gary B. Born |
title_short | International arbitration |
title_sort | international arbitration law and practice |
title_sub | law and practice |
topic | Arbitration and award, International Arbitration agreements, Commercial |
topic_facet | Arbitration and award, International Arbitration agreements, Commercial |
url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=025414417&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
work_keys_str_mv | AT borngary internationalarbitrationlawandpractice |