Private dispute resolution in international business: negotiation, mediation, arbitration 2 Handbook
Gespeichert in:
| 1. Verfasser: | |
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| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
The Hague [u.a.]
Kluwer Law Internat.
2015
Alphen aan den Rijn Wolters Kluwer Law & Business 2015 |
| Ausgabe: | 3., rev. ed. |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | LVII, 739 S. |
| ISBN: | 9789041160577 |
Internformat
MARC
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| 245 | 1 | 0 | |a Private dispute resolution in international business |b negotiation, mediation, arbitration |n 2 |p Handbook |c Klaus Peter Berger |
| 250 | |a 3., rev. ed. | ||
| 264 | 1 | |a The Hague [u.a.] |b Kluwer Law Internat. |c 2015 | |
| 264 | 1 | |a Alphen aan den Rijn |b Wolters Kluwer Law & Business |c 2015 | |
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Datensatz im Suchindex
| _version_ | 1804174977467940864 |
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| adam_text | Fable of Contents
Preface to the Third Edition xxxvii
Preface to the First Edition xxxix
Acknowledgements xiiii
User s Guide xivii
List of Abbreviations li
Part One
International Business Negotiations 1
1st Scenario
International Business Contracts 3
Question 1
Contract Conclusion in International Business
A, One Document vs Exchange of Fax/Einail Messages
B» The Search for Offer and Acceptance
l. Hon binding Inquiry or Binding Offer?
T Pro Forma Invoices/Invitalion to Offer
.:L Mature of Binding Offers
C. Inclusion of Standard Forms and Penalty Clause
1. The Standard Forms Problem
2. The Penalty Clause
3. The Connection between Standard Forms and Penalty Clause
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Table of Contents
Question 2
Confirmations of Order 8
A. Significance of Seller’s Confirmation of Order’ 8
1. Confirmation of Order as Binding Offer 8
2. Confirmation of Order as Writing in Confirmation 8
B. Significance for the ALT/NedTrans Contract 8
Question 3
Efficiency and Speed in International Contract Drafting 9
A. Reference to Pre-formulated Texts 9
1. Reference to Standard Terms 9
2. Reference to INCOTERMS 10
B. Increased Risks through Multiple Contract Documents H
Question 4
The Avoidance of Legal Advice at the Drafting Stage 12
A. Communication Barriers between Lawyers and Businessmen 12
B. Businessmen’s Perception of Lawyers as Deal Breakers’ 12
C. Lawyers Get involved When It Is Too Late Id
2nd Scenario
The Dispute 15
Question 1
The Dispute between NedTrans and ALT 16
A. ‘Conflicts’ and ‘Disputes’ 16
B. The Meaning of‘Conflict’ 17
1. Significance of Conflict Research 17
2. The Nature of Social Conflicts 17
C. The Meaning of ‘Dispute’ 18
1. General Disputes 18
2. International Business Disputes 19
3. Legal Disputes 20
Question 2
From Conflict to Dispute 21
A. The Escalation of Conflicts 21
1. Escalation Stages: ‘Rivalry’ ‘Fight’ ‘War’ 21
2. Escalation as Ground for Increased Complexity of Disputes 22
B, Reasons for Escalation 22
1. Zero-Sum Thinking 22
2. ‘Selective Perception’, ‘Tunnel Vision’, ‘Judgmental
Overconfidence’ 28
3. The Parties’ Distorted View of Reality (‘Attributive Distortion’) 23
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Question 3
Legal and Non-legal Reasons for Business Disputes
A. Reasons for the Business Dispute between NedTrans and ALT
B. Other Reasons for Business Disputes: The Non-legal Side
1. The Human Factor (‘LABS Element*)
2. The Intercultural Factor
3. The Language Factor
Question 4
Choice of Dispute Resolution Process
A. important Distinctions
B. Involvement of Third Party Interveners
1. The Basic Choice 2. The Powers of the Neutral Third Par ty
3, Control over the Process
C. D. Consensual Character of the Process Adversarial vs Conciliatory Processes (‘Rig his’ vs ‘interests’)
E. The Parties’ Right to Walk Away
F. Confidentiality (‘Public Adjudication’ or T rivate Dispute Resolution1}
G. Enforceability
Question 5
Making the Right Choices in Practice
A. ‘Fitting the Forum to the Fuss’
B. Criteria for Choices
Question 6
Alternative Dispute Resolution (ADR)
A. What is ADR?
1. Private Dispute Resolution
2. Does ADR Include Arbitration: The US and the European Views
3. ADR as a Legal Service Industry
B. The ADR Toolbox
1. The Range of Options
2. Escalation Clauses (‘Multi-Tier* Dispute Resolution)
3. Conflict Manager; ‘Conflict Clearance Clause’
4. Dispute Avoidance
Question 7
Renegotiation Clauses
A. The Duties of the Parties
B. A Right to Negotiate or a Right to Agree?
C. Renegotiation without Agreement?
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3rd Scenario
Developing Strategies 57
Question 1
The Venue 58
A. Controlling the Negotiation Venue 58
B. Negotiating in One’s Own Office 58
Question 2
Timing Issues 59
A. Controlling the Time Factor 59
B. The Dangers of Revealing Time Constraints 60
Question 3
Agenda 60
A. Controlling the Agenda 60
B. Relationship between Agenda and Time 6.1
Question 4
Preparing for Negotiations 61
A. Preparatory Information Gathering 61
B. A Party’s Negotiation Position 62
1. The ‘BATNA’ 62
2. The ‘Walk-away Price’ 64
3. The ‘Zone of Possible Agreement’ 64
4. The ‘Negotiator’s Dilemma’ 65
Question 5
Bargaining Power 67
A. The Nature of ‘Bargaining Power’ 67
B. The Distribution of Bargaining Power in our Case 68
L NedTrans’Mr Bakker 68
2. ALT’S Mr Stutz 69
Question 6
Negotiations over the Phone 70
A. Natural Limits of Telephone Conferences 70
B. The Need to Meet ‘FaceDoTaee’ 70
4th Scenario
The Negotiations in The Hague: Morning Benskm 73
Question 1
A Basic Understanding of Negotiations 74
A. The Meaning of ‘Negotiations’: A Qualified Communication Process 74
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B.
c.
The Significance of the ‘Environment*
Three Essential Issues: Strategy, Psychology, Skills
Table of Contents
Question 2
Negotiation Theory
A. ‘Distributive* vs ‘Integrative Negotiations
L Distributive (‘Positional* or ‘Competitive’) Bargaining
2. Integrative Bargaining
3. ‘Principled Negotiations’
B. The Need for a Flexible Approach
Question 3
The Lawyer’s Pathological Perspective
A, Lawyers as Negotiators?
B. The Lawyer’s Court Room Perspective
Question 4
The Managers’ Negotiation Madia*
A. Mr Bakker’s Tactics
B. Mr Stutz* Reactions
i « Possible Options
2. ‘Breakthrough’ Negotiations Strategy
Question 5
Lawyers’ Participation in Negotiations
A. The Lawyers’ Role in Negotiations
B. Lawyers as Agents
3th Scenario
The Negotiations in The Hague: Afternoon Session
Question 1
From Positional Thinking to Arab Bazaar
A. Captivated in Positional Thinking
B. The ‘Arab Bazaar’
J Nature of the ‘Negotiation Dance’
2. Who Makes the First Of 1er?
3. The Unreasonably High First Offer
4. Splitting It Down the Middle
in The Pattern of Concessions
Question 2
‘Mutt and Jeff Negotiation Tactics
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Question 3
Typical Phases of a Negotiation 99
Question 4
Different Negotiation Perspectives 101
A. Deal-Making Negotiation (DMN) and Dispute Settlement Negotiations
(DSN) 101
B. Differences between DMN and DSN 101
Question 5
Reasons for Failure of Negotiations 103
A. The Escalation of the Dispute 103
B. Reasons for Escalation 103
Question 6
Costs of Failed Negotiations 104
A. The Economic Consequences of the Break-Up 104
B. Ways to Avoid the Break-Up 105
Part Two
International Business Mediation 10/
6th Scenario
The Proposal to Mediate ( Getting to the Table’) 109
Question 1
Alternative Dispute Resolution and Proactive Dispute Management 111
A. Proactive Dispute Management 111
1* Dispute Resolution Planning as Part of Corporate Management 111
2. Dispute Management and Budget Constraints of Legal
Departments 113
3. Dispute Management Contracts and Internal Review Boards 115
B. Dispute Management and the Changing Role of the In-House Lawyer 115
Question 2
Mr Martens’ Proposal: A High-Level, Top Executive Mediation’
A. Reasons for Suggesting the Mediation
B. Definition and History of Mediation
1. A Definition
2. A Brief Historical Note on Mediation
C. Characteristics of the Mediation Process
1. Voluntary and Consensual Process
2. Mediator as ‘Facilitator’ or ‘Manager’ of Negotiations
3. Parties Retain Decision-Making Power
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5.
Table of Contents
The Parties’ Seif-Responsibility 122
The Neutral Third Party’s Impact on the Relationship between
the Parties 122
6. Flexibility of the Mediator’s Role 124
Question 3
Reasons for a ‘High-Level, Top Executive’ Mediation 124
A. Overcoming the Pride-Barrier 124
B. Positive Signal for the Other Side 125
C. Decision-Making Authority of CEOs 126
D. Managers’ Prior Involvement in Dispute as Barrier to Agreement 127
F, CEOs Not Involved in Prior Negotiations 127
Question 4
The Agreement to Mediate 128
A. Nature of the Agreement to Mediate 128
B. Effect of the Agreement to Mediate 128
1. Dismissal of Court Action as Currently Inadmissible 128
2. Parties Not Bound Indefinitely 131
Question 5
The Role of Lawyers in the Mediation Process 133
A. Function of Lawyers in a Mediation 133
B. Lawyers as Guarantors of the Fairness of the Mediation Process 133
Question 6
Selecting a Mediator 135
A. The Qualifications Required of a Mediator 135
1. Knowledge of the Law 135
2. Soft Skills and Human Qualities 136
3. Personal Style and Understanding of the Mediation Process 138
B One or More Mediators? 138
Question 7
The Role of the Institution 138
A. institutional vs ‘Ad Hoc’ Mediation 138
B. Different Degree of Involvement of Mediation Institutions 140
Question 8
The Mediator in the Mediation Process 140
A. Neutrality of Mediators 140
8. Neutrality, Confidentiality and Fairness of the Process 141
Table of Contents
Question 9
First Contact with the Mediator 142
A. Dr Raiser’s First Letter to the Parties 142
B. Briefing the Mediator 143
Question 10
Mediation Venue 145
A. Legal Significance of Choice of Venue 145
B. Mediation Rules 146
C. Mediation Laws 146
Question 11
Mediation Environment 140
A, Significance of Contextual Factors’ 148
B. Seating of Parties and Their Lawyers 148
0. Visualization Equipment 149
Question 12
Duration of a Mediation 149
7th Scenario
The Mediation ·- Phase 1: The Mediator’s Opening Statement and
Conclusion of the Negotiation Agreement 151
Question 1
Introductory Statement try the Mediator 152
A. Demystifying the Process 152
B. Setting the Tone for the Negotiations 153
C. Establishing Rapport 153
D. Getting the Lawyers Involved in the Mediation Process 155
E. Seeking the Parties Commitment to the Mediation Process 155
Question 2
Stages of the Mediation Process 156
A. The Five Stages of a Mediation 156
B. Purpose and Significance of the Stages 159
C. Difference between Negotiation and Mediation 159
Question 3
The Negotiation Agreement 159
A. The General Purpose of tlie Negotiation Agreement 159
B. Specific Purposes of the Negotiation Agreement 160
L Making Use of the Mediation Concept 160
2. Reference Point for the Parties 161
3. Commit m exit Contract 161
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Question 4
Content of Negotiation Agreement 162
A, Negotiation Agreement Distinguished from Mediation Agreement 162
IT Two Contracts in One Document 164
C. Conclusion of the Negotiation Agreement 165
Question 5
Confidentiality in Mediation 165
A, Confidentiality and the Legitimacy of Mediation 165
IT Scope of Confidentiality 165
C. Purpose of Confidentiality: Promoting Candour 166
Question 6
The Principle of ‘Self-Determination’ 168
A. The Essential Difference between Mediation and Arbitration J68
} 5, Self’Del ermination and Party-Satisfaction 169
Bun Scenario
The Mediation · ՛ Phase A։ ’The Parties5
i ipening Staten
I y 1
Question 1
The Parties’ Opening Statements 1/2
A. Purpose of the Parties’ Opening Statements 1/2
11. Reason for In vo lvem ent o f 1 lawyers 1 / 3
C. The Mediator’s Role 1/3
Question 2
Resolving Procedural ‘Mini-Disputes’ 1/4
Question 3
The Mediator’s Duties 1/5
A. The Mediator’s Task to Control and Structure the Parties’
Communication 1 /5
IT Establishing a Cooperative Communication Culture 175
C. Communication and the Parties’ View of the Substance of the Dispute 1 76
9th Scenario
The Mediation ՛ · Chase A:
li I# mtif yin? 4 f-iui.ti Mt a..ud ! nnw xì# - ;
Quest io n 1
The Purpose of ‘.Issue Speri ting4
A. From Contention to Cooperation
IT Ensuring Maximum Flow of lnfommlion
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1/8
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1/8
Table of Contents
Question 2
Emotions in Mediation
A. Emotions and Fail-Back into Positional Thinking
B. The Mediator s Task to Deal with the Parties5 Emotions
1. Diagnosing, Regulating and Managing Emotions
2. Additional Intervention Strategies
Question 3
The Tdeal World Perspective
A. Moving Parties from Positional to Interest Based Bargaining
Techniques
B. Risks and Rewards of this Approach
Question 4
Reframing and Visualization
A. Reframing
B. Visualization
C. Re-Establishing Trust and Confidence between the Parties
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10th Scenario
The Mediation - Phase 3: Fixing the Agenda and Gathering Information 187
Question 1
Fixing the Agenda: Ordering Issues and Interests 188
A. Possible Ways to Structure the Agenda 188
B. Easier Items First 189
Question 2
The ‘Package Deal’ 190
A. Drawbacks of Creating Negotiation Packages 190
B. Applauding the Parties for Taking a Future-Oriented Perspective 190
Question 3
Making the Parties Change Their Perspective of the Dispute 191
A. Looking Ahead Instead of Dealing with the Past 191
B. ‘Looping Back into Positional Thinking 192
Question 4
Legal Evaluation by the Mediator 193
A. Difference between Adjudication and Mediation 193
B. Legal Evaluation by the Mediator 193
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Table of Contents
Question 5
Converting Negative Tension into Positive Momentum 194
A. Activating Energies and Dynamics instead of Unproductive Exchange
of Arguments 194
B. The Mediator as the ‘Devil’s Advocate’ 195
C. Shifting from Positional to Interest-Based Bargaining 196
Question 6
Significance of Legal Issues in Mediation 198
A. The ‘Shadow of the Law* in Mediation 198
B. The Role of Law in Adjudication 198
C. The Role of Law in Mediation 200
Question 7
The Mediator’s involvement in the Legal Assessment of the Dispute 203
A. Dr Raiser’s Decision to Discuss the Legal 8l.de of the Dispute 203
B. Decision-Tree Analysis 204
1. The Functioning of Decision Tree Analysis 204
2. Decision Tree for Damage Claim and Penalty Payment 206
a. NedTrans* Damage Claim 206
aa. Legal Issues 206
bb. Decision Tree 208
b. NedTrans’ Claim for a Penalty Payment 209
aa. Legal issues 209
bb. Decision Tree 209
c. Penalty in Addition to or instead of Damages 210
aa. Legal Issues 210
bb. Decision Tree 210
C. Advantages of Decision-Tree Analysis 211
D. Disadvantages of Decision-Tree Analysis 211
Question 8
Making the Parties Step into the Shoes of the Other Side 213
A. Making the Parties Change Their Perspective of the Dispute 213
B. Dr Raiser’s Strategic Approach 214
Question 9
The Turning Point 214
A. Gaining a Better Understanding for the Other Side 2.14
B. No Party Can Be Sure to ‘Win’ in Arbitration 215
Question 10
Cultural Approach in Mediation 215
A. Establishing a Positive Social Climate between the Parties 215
IT Significance of Social Events 216
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Fable of Contents
11th Scenario
The Mediation - Phase 4: Generating Options for Settlement of the
AX-100 Special Dispute ( Group V Issues) and Bargaining 217
Question 1
Changing the Parties’ Relationship 218
A, Achieving Psychological Closure through Social Activities 218
B. Reconciliation between the Parties 219
Question 2
A New Vision for the Parties’ Business Relationship 220
A. Achieving Reconciliation between the Parties 220
B. Structuring the Negotiations in a Deductive Manner 220
Question 2
The Mediator’s Role in the Option-Generating Phase 222
A. The Mediator as Catalyst of Creativity’ 222
B. Avoidance of hoop Backs’ 222
Question 4
MultiDimensional instead of Confiietual Approach 223
A. Moving from ‘Win/Lose’ to ‘Win/Win’ Thinking 223
B. ‘Enlarging the Cake’ 223
Question 5
Logrolling 224
A. The Use of Logrolling in Mediation 224
B. The Effect of Logrolling 225
Question 6
Mediation Styles and the Mediator’s Right to Make Proposals 226
A. The Mediator’s ‘Role’ 226
t. The Different Mediation ‘Styles’ 227
a. ‘Facilitative’ Mediation Style 228
b. ‘Evaluative’ Mediation Style 228
c. ‘Transformative’ Mediation Style 229
2. Dr Raiser’s Role in the Mediation 230
B. Dr Raiser’s Proposal 231
l * Building a ‘Golden Bridge’ for the Parlies 231
2. Strategy 234
3. Timing 234
XVI
Table of Contents
Question 7
Unusual Mediation Techniques 235
A. Envelope Procedure 235
B. Games of Chance 236
Question 8
Understanding Settlement as a Business Opportunity 237
A. Zone of Possible Agreement 237
B. Strategic Considerations of Busin։^persons 237
Question 9
Mediator Responsibility vs Party SdfI iolcrmmabon 238
A, dire Mediator s Responsibility for die Outcome of the Mediation 288
IT Acceptance of Risk by the Parlies 238
Question 10
Changing the Parties’ Communication .Style 789
A. Communication in Mediation 289
IT Change of Communication Channels 289
Question 11
Deal Making vs Settlement Negotiations 241
A. Differences between Negotiation and Mediation 241
B, Win/Win vs Win/Lose 242
12th Scenario
The Mediation - Phase 4: Restructuring the Future Business
Relationship between NedTrans ami ALT (‘Group IF Issues) 243
Question 1
Business Secrets in Mediation 244
A. The Parties’ Reluctance to Reveal Business Secrets 244
IT The Mediator’s Need for Information 244
Question 2
Holding Caucus 24 5
A. Reasons for Caucus Sessions 24*5
IT Three important Aspects of Caucusing 246
C Timing and Golden Rules’ 246
2. Transparency 74/
3. Confidentiality 248
(i. ‘Shuttle’ Mediation 248
XVI!
Table of Contents
Question 3
Brainstorming 249
A. The Purpose of Brainstorming Sessions 249
B. The Two Phases of Brainstorming 250
C. The Mediator’s Role in Brainstorming Sessions 250
Question 4
The Mediator’s Supervisory Role 251
A. SMART’ Settlement Agreements 251
B. The Mediator’s Role 252
13th Scenario
The Mediation - Phase 4: Mr Jaeggi’s Limits of Authority 233
Question 1
Limits of Authority 253
A. Fabricated Limits of Authority 254
B. Real Limits of Authority 254
C. The Mediator’s Options 255
Question 2
Settlement Agreement vs Business Memorandum 256
A. The Parties’ Dilemma 256
B. The Parties’ Options 256
1. informal Business Memorandum 256
2. Final and Binding Settlement Agreement 257
C. Binding and Non-binding at the Same Time? 258
Question 3
Limits of Authority and Package Deal Concept 258
A. Weakness of Package-Deal Concept 258
B. The Parties’ Transformative Approach 259
14th Scenario
The Mediation Phase 5: Signing of the Settlement Agreement and
Termination of the Mediation 261
Question 1
Importance of Drafting and Signing of Settlement Agreement 261
A. Psychological Significance of Settlement Agreement 261
B. Identification of Parties with Their Settlement Terms 262
Question 2
Psychologies of Signing Ceremony and Formal Conflict Termination 263
A. Significance of Symbolic Conflict Termination Activities 263
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Table of Contents
B. Parties’ Perception of Settlement Agreement as Their Deal’ 263
15th Scenario
Revocation of the Settlement Agreement (‘From Interests to Positions’) 265
Question 1
Significance of Failure of Settlement 266
A. Escaping the Zero-Sum Paradigm* 266
B. The Parties’ Strategic Mistake 266
C. Disputes Not Apt for Mediation 267
D. Mediation or Arbitration: A Matter of Principle or a Matter of Choice? 268
Question 2
Failed Mediation as Learning Experience 269
A. Benefits of Unsuccessful Mediation Sessions 269
B. Failed Mediation as Learning Experience for Lawyers 269
Question 3
The Parties’ Options after a Failed Mediation 269
A. Arbitration 269
B. A New Mediation? 271
Question 4
The Threat to Initiate Arbitration Proceedings 272
Question 5
Arbitration and Continuation of Business Relationship 273
Part Three
International Commercial Arbitration 275
16th Scenario
The Commencement of the Arbitration 277
Question 1
Conflicting Arbitration Clauses 279
A. Negligent Drafting of Arbitration. Clauses 279
B. The Price for Negligent Drafting .280
Question 2
Lhe Nature and History of Arbitration 281
A. What is (International) Arbitration? 281
B. A Brief Historical Note on Arbitration 283
C. Why Parties Opt for Arbitration 284
D. The Hybrid Nature of Arbitration: Contractual and Procedural 285
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Table of Contents
L The Contractual Nature of Arbitration 285
a. The Requirement of an Arbitration Agreement 285
b. The Requirement of a ‘Dispute’ (‘Rights’ vs ‘Interest’
Arbitration) 282
aa. The ‘Dispute-Oriented’ Definition of Arbitration 287
bb. The Progressive View (From ‘Rights to ‘Interest’
Arbitration) 288
c. The Primacy of Party Autonomy 290
2. The Judicial Nature of Arbitration 291
a. Mandatory Safeguards for Procedural Due Process 291
b. The Effects of an Arbitral Award 292
c. The Judieialization of International Arbitration 292
Question 3
Use, Benefits and Dangers of Best Practices 298
A. Use of Best Practices 298
B. Benefits of Best Practices 300
C. Dangers of Best Practices 301
Question 4
‘Ad Hoc՛ versus ‘Institutional’ Arbitration 802
A. Agreement on Institutional Arbitration 802
B. DIS Arbitration 304
Cl ‘Fast-Track’ Arbitration Rules 80S
Question 5
Laws, Rules, and Procedural Discretion 308
A. Arbitration Law and Arbitration Rules 308
B. The Hierarchy of Rules 308
C. The ‘Proactive’ Approach to the Conduct of Arbitration 310
Question 6
Effects of a Valid Arbitration Agreement
A. Positive Effects
B. Negative Effects
1. The Negative Obligation Not to Litigate Disputes before
Domestic Courts
2. Anti-sui t Inj mietious
C. Other Effects of the Arbitration Agreement
Question 7
Confidentiality in Arbitration 3 i /
A. The Notion of Confidentiality in Arbitration: internal and External 317
B. Confidentiality as Implied Term of the Arbitration Agreement 318
C. The Public Interest and Other Exceptions 319
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D.
E.
Table of Contents
Publication of Awards
Need for and Limits to Express Confidentiality Agreements
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Question 8
Arbitrability 325
A. Subject-Matter and Contractual Arbitrability 325
J3. Applicable Law 325
1. Possible Solutions 825
2. Substantive Rules of Private International Law 326
C. Claims involving an Economic Interest’ 326
1. All Claims Measurable in Monetary Terms 326
2. Worldwide Trend in Favour of Arbitrability 327
3» Arbitrator’s Duty to Decline Jurisdiction in Case of
Non arbitrable Subject Matter 328
D. Subjective Arbitrability: The Parties’ Capacity to Arbitrate 328
E. The Law Applicable to a Party’s Representation 331
Question 9
The Place of Arbitration
A. The Theoretical Perspective
1. The Seat as the Legal Domicile’ of the Arbitration
a. The Territorial Theory
b. The Mandatory Character of the Territorial Theory
2. The Nationality’ of the Award
3. Transnationalization and Territoriality
B. The Practical Perspective
1. Seat of Arbitration and Place of Hearings and of Taking of
Evidence
2. Choice of Seat by Parties or Arbitral Tribunal
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Question 10
The Party-Appointed Arbitrator 340
A. Sole Arbitrator or Three-Member Tribunal? 340
B.
C.
Importance of Decision to Nominate: Transfer of the Parties’ Control 340
Qualifications and Qualities Rtxjttired 842
1. General Qualifications 342
2 Attitude towards Selection of Chairman 342
3, Familiarity with Procedural Ruins 343
4, Favourable Disposition to i ho Party’s Case 344
a. Connection between Merits of Case and Selection Process 344
h. P arty ֊Appointed A vi n l n nor N ot Representative o f e his ’
Party 345
c. The Arbitrator’s Duty to Disclose 346
d. Position of Patt/y Appointed Arbitrator within the TribuaaI 34 7
5, Summary of Required (HiaJifi cations 348
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Table of Contents
Question 11
Selecting a Candidate for Party-Appointed Arbitrator 349
A. Early Nomination of Claimant’s Arbitrator 349
B. Gathering information about Suitable Candidates 349
Question 12
Request for Arbitration/Statement of Claim 350
A. Difference between ‘Request for Arbitration’ and ‘Statement of Claim’ 350
B. Tactical Considerations 351
Question 13
Request for Arbitration and Statutory Limitation Periods 352
A. Interruption of Limitation Period through Filing of Statement of
Claim 352
B. Requirements under German Law 353
Question 14
Written Advocacy in International Arbitration 354
A. Structure of Legal Briefs 354
B. Exposition of Law and Facts 355
Question 15
Filing of Statement of Claim 357
A. Sending Statement of Claim to Arbitral Institution 357
B. Pitfalls and Precautions 358
17th Scenario
The Administration of the Statement of Claim by the German Institution
of Arbitration (DIS) 359
Question 1
Which Version of the DIS Rules Applies? 360
A. Application of New Version of Arbitration Rules 360
B. Moment of Commencement of Arbitration 360
Question 2
Examination of Statement of Claim by Arbitral Institution 361
A. Examination of Arbitration Clause and Amount in Dispute 361
B. Termination of Arbitration in Case of Non-payment of Fee 362
Question 3
Involvement of Arbitral Institution 362
A* Purely Administrative Task of Arbitral Institution 362
B. Different Degree of Involvement of Arbitral Institutions 364
xxii
Table of Contents
C. Distribution of Tasks between Arbitrai Institution and Arbitral
Tribunal 364
1. Prima Facie Examination of Arbitration Agreement 365
2. Examination of Final Award 366
Question 4
Correct Filing of Statement of Claim 367
A. Numbers of Copies Required 367
B. Consequences if Statement Not Filed in Sufficient Copies 367
Question 5
Payment of Fees by Claimant 368
A. General Considerations 368
B. Calculation of Fee and Advance 369
1. Administrative Fee 369
2. Provisional Advance 369
C. Balance of Advance 370
18th Scenario
The Respondent s Reaction 3/3
Question 1
Jurisdictional Pitfalls 374
A. The Effects of Silence 374
B. Jurisdiction First! 375
Question 2
Court Control of Arbitral Jurisdiction 376
A. Prior to the Constitution of the Tribunal 376
B. After the Constitution of the Tribunal 377
Question 3
Contacting Candidates for Party-Appointed Arbitrator 378
A. ‘Ex Parte’ Contacts between Party and Candidate 378
lb Interviews with Candidates 379
19th Scenario
Constitution of the Tribunal. 388
Question 1
‘Nomination - ‘Appointment* ֊■ ‘Constitution 384
A. Nomination/Appointment of the Arbitrators 384
B. Constitution of the Tribunal 385
xxiii
Tabie of Contents
1. Appointment of Arbitrator versus Constitution of Arbitral
Tribunal 385
2. Moment of Transfer of Control 385
Question 2
Contract between Arbitrator and Party 386
A. The Arbitrator s Contract 386
B. Conclusion of Arbitrator s Contract 387
C. Arbitrators’ Immunity front Liability 387
D. No Form Requirement for Arbitrator’s Contract 388
Question 3
The Chairman of the Arbitral Tribunal 388
A. Appointment of Chairman in Case of Disagreement between
Party Appointed Arbitrators 388
B, Qualifications and Qualities of a Chairman 390
Question 4
Party Agreements on Qualifications of Arbitrators 391
A. The Binding Nature of the Parties’ Proposals 391
B. Advisability of Party Agreements 391
C. Nationality of the Arbitrators 392
1. Chairman 392
2. Party-Appointed Arbitrators 393
Question 5
Appointment of Non-lawyers as Arbitrators 393
A. Non-lawyers as Arbitrators in Standard Commercial Arbitrations 393
1. Requirements of Arbitration Rules 393
2. Preference for Lawyers 394
B. Non-lawyers as Arbitrators in Specialized Commodity Arbitrations 395
20th Scenario
Case Management and Challenge of the Tribunal’s Jurisdiction 397
Question 1
Fixing a City as the Seat of the Arbitration 398
Question 2
Fixing the Language of the Proceedings 399
A. Fixing the Language of the Arbitration 399
1. Agreement of the Parties 399
2. Determination of Language by Arbitral Tribunal 399
B. Language of Arbitration and Right to Be Heard 400
xxiv
Table of Contents
Question 3
Advisability of Proceedings on a ‘Documents-Only1 Basis 402
Question 4
Purpose of and Possible Topics for a Case Management Conference 403
A. Purpose of Case Management Conference 403
B. Topics for a Case Management Conference 404
L General Topics 404
2. Party “Agreement or Procedural Order? 403
3. Use of Proactive Case Management Techniques 407
C. Psychological Effect of a Case Management Conference 408
I), Terms of Reference in ICC Arbitrations 409
Question 8
Waiver of Right to Raise Jurisdictional Objections 41 (
A. Waiver of a Party’s Right to Object against Jurisdiction 41 !
B. Scope of a Party’s Waiver of Right to Object 41.7
Question 6
The Principles of ‘Kornpctenz-Kompeton/7 and ‘SepaniJaiilty’ 412
A. The Principle of TCompetenz-Kompotenz’ 412
B, The Principle of ‘Separability’ 414-
Question 7
The Tribunal’s Options to Decide on Its Jurisdiction 417
A. Decision Denying Jurisdiction: Final Award on Jurisdiction 418
B. Decision Confirming Jurisdiction 418
L Interim Decision on Jurisdiction 418
2. Decision on Jurisdiction in Final Award on the Merits 419
3. Provisional Nature of the Tribunal’s ‘Kompetenz-Kompelenz’ 419
a. The International View 419
b. The Reverse Trend in the US 420
4. Tribunal Decision Denying Jurisdiction 422
5. Tribunal Decision Confirming Jurisdiction 422
Question u
Validity of Arbitration Agreement 423
A. Substantive Validity 423
B. Formal. Validity 428
Question 9
Agreement on Arbitration under IJJ.fi ArI ni union Rules 427
A. Requirement of Arbitration Agreement. 427
». Arbitration Clauses hi Standard Tonus 427
C. ‘Battle of Forms1 428
XXV
Table of Contents
1. ‘Last Shot Rule’ 429
2. ‘Knock-Out Rule* 430
3. The Principle of Presumptive Validity 431
4. Examination of the Wording of No. 13.1 ECE Conditions 433
5. Result of Interpretation under ‘Last Shot and ‘Knock-Out1 Rules 434
Question 10
Formal Validity of Arbitration Clause in Standard Terms 435
A. Contract Containing Reference 435
B. Specific vs Global Reference 436
2 1st Scenario
Interim Measures of Protection 439
Question 1
Authority for Arbitral Interim Relief 440
Question 2
Types of Arbitral Interim Relief 441
A. Mareva Injunction as Arbitral Interim Relief 441
B. Other Types of Arbitral Interim Relief 442
Question 3
Prerequisites for Arbitral Interim Relief 444
A. Constitution of the Tribunal; ‘Pré֊Arbitral Referee Procedures 445
B. Request by One Party 446
C. Other Prerequisites 446
D. Deposit of Security 448
E. Good Faith Declaration in Lieu of Interim Relief Orders 448
F. Additional Fees for interim Relief 449
Question 4
Ex Parte Interim Relief 449
A. ‘Ex Parte Interim Relief and the Opponent’s Right to Be Heard 449
B. UNCITRAL’s Approach in Art. 17 B and C Model Law 2006 450
C. The Situation in Our Case 451
Question 5
Enforceability of Interim Relief Orders 452
A. Nature of Interim Relief Orders 452
B. Provisional Nature of Interim Relief Orders 452
C. Enforceability of Interim Relief Orders 453
D. The Provisions on Enforcement of Arbitral Interim Relief Orders
in the 2006 Version of the Model Law 454
XXVI
Table of Contents
Question 6
The Parties’ Compliance with Non-enforceable Interim Relief Orders
455
Question 7
Interim Relief from the Courts 456
A. Arbitration Agreement and Interim Relief from Courts 456
B. Relationship between Interim Relief from Arbitrators and from Courts 456
22nd Scenario
Settlement in Arbitration; Request for Postponement; Change of Ownership in One of the Parties 459
Question 1
Set11 ement in Arbitration 460
A. Settlement Negotiations and Arbitration 460
Pi. Settlement Negotiations Outside the Hearing Room 461
C. Settlement Negotiations Inside the Hearing Room 461
1. Avva trd or Settlement? 461
2. The ‘Proactive’ Role of the Tribunal 462
a. General Co ns id era tio ns 462
b. The CEDR Rules for the Facilitation of Settlement in International Arbitration 465
3. The Approach to Settlement in German Arbitrations 466
4. The Requirement of ‘Informed Consent of the Parties’ 469
5. Integration of Mediation Techniques 470
6. The Settlement Privilege 471
a. The General Principle 471
b. The Underlying Rationale 472
c. Scope and Limits of the Settlement Privilege aa. Application to Strategic Documents Prepared for 474
Use in Settlement Negotiations 474
bb. Offer of a Party’s Own Statements, Views,
Admissions and Concessions 475
cc. Good Faith Limitations 475
Question 2 Termination A r™ of Arbitration after Settlement of Dispute 476
I u umituu, f . Award on ni j uci Agreed Ten as 4/6 4 77
Question 3
Change of Owners! lip ixi a Party During the Arbitration 4/8
XXVII
Table of Contents
23rd Scenario
Challenge of Arbitrator 481
Question 1
Standards and Procedures 482
A. The Concept of ‘Independence* and ‘Impartiality* 482
B. The Objective Nature of the Concept of ‘Justifiable Doubts 485
C. Challenge of Party-Appointed Arbitrators 487
Question 2
Business Contacts as Grounds for Challenge 490
A. Types of Business Contacts 490
B. Remoteness of Business Contacts 490
Question 3
Failure to Disclose as Ground for Challenge? 494
A. Arbitrator’s Duty to Disclosure 494
B. Disclosure and Challenge: Subjective vs Objective Test 495
C. Non-disclosure and Challenge 498
Question 4
Waiver of Right to Challenge 501
A. Parties’ Knowledge of Grounds for Challenge 501
B. Scope of Waiver 502
Question 5
Involvement of Arbitral Institution and Challenged Arbitrator 503
A. Involvement of Arbitral Institution in Challenge Procedure 503
B. Participation of Challenged Arbitrator in Tribunal’s Vote on Challenge 503
Question 6
Challenges before Domestic Courts 504
A. Court Control of Challenge 504
B. No Delay of Arbitration; Misuse of The Right to Challenge 505
Question 7
Consequences of Successful Challenge 506
A. Appointment of Substitute Arbitrator 506
B. Repetition of Oral Hearing 506
Question 8
Resignation of Arbitrator 507
xxviii
Table of Contents
24th Scenario
The First Day of the Hearing: The Legal issues (I) 509
Question 1
Applicable Law Issues in International Arbitration 510
A. Possible Conflict-o f-Laws Problems 510
B. Connection between Choice of Seat and Choice of Substantive Law 511
Question 2
Significance of Legal and Factual Issues
A. Dominance of Factual and Contractual Issues
B. Trade Usages
Question 3
Conflict Rules in Arbitration
A. Special Conflicted-Laws Rule fur Arbitrators
B. No Duty lo Apply Conflict Rule s of the f,vx Fori
Question 4
Determination of the Law Applicable to the (kmtraci
A. Choice of Law by the Parties
B. No Choice of Law by the Parties
1. The * Closest-■Connection՛’ Test
2. Arbitral Practice
3. Significance of Conflict Rules of the Lex For it
4. Transnational Law
C. The Law Applicable to the Contract
Question 5
Ascertaining the Contents of the Applicable Law
A. Tribunal’s Duty to Find the Law
B. Approaches in Domestic Laws
C. Hybrid Approach in Internationa! Arbitration
D. Determination of Contents of Applicable Law and Parties’ Right
to Be Heard 524
Question 6
Claimant s Churn for Damages mid ResiUtUiou of Down Payment 326
A. Damages 526
ih Restitution of Down Payment 52/
Question 7
Possible Excuses for Non-performance 526
A. No. 10 ECK Conditions Mot Applicable 528
B- Other Grounds for Excuse 529
512
512
5 14
514
5 14
31 ()
516
51/
51/
518
319
519
520
522
522
522
522
XXIX
Table of Contents
1. The Non-Delivery by the South Korean Supplier Wang Hong
CT Ltd 529
a. The Basic Rule: The Seller Bears the Risk for his Supplier 529
b. The Exception: Transfer of Risk to the Buyer 531
2. The Southeast Asian Economic Crisis 533
a. Force Majeure? 533
b. Hardship? 534
c. The Sacrifice Threshold’ under the CISC 536
aa. Legal Basis and Prerequisites 536
bb. Legal Consequences 539
cc. Application of the Concept in Our Case 540
cL The Crucial Issue: Was ALT Aware of the Crisis When
the Contract Was concluded in Early March 1997? 542
25th Scenario
The First Day of the Hearing: The Legal Issues (II) 545
Question 1
Purpose and Effects of Penalty Clauses 546
A. Purpose of Penalty Clause 546
B. Tn TerrorenT Effect of Penalty Clauses 547
Question 2
Penalty Claims and Avoidance of Contract 549
Question 3
Law Applicable to Penalty Clause 549
A. Law Applicable to Penalty Clause Contained in CISC Contract 549
B. Determination of Applicable Domestic Law 550
Question 4
Duty to Pay Penalty and Excuse of Non-performance 551
A. Excuse from Performance under Penalty Clause 551
B. Interplay between Domestic Law Applicable to Penalty Clause
and Art. 79 CISC 551
Question 5
Unreasonably High Penalty 552
A. Reduction of Sum Forfeited under Penalty Clause 552
B. Balance of Interests 553
Question 6
Relationship between Penalty Claim and Claim for Damages 553
A. Exclusive or Non-exclusive Nature of Penalty Clauses 553
B. Penalty and Damages for Non-delivery 554
xxx
Table of Contents
Question 7
Set-Off in Arbitration 554
A. The Cross-Claim that Is Subject to an ICC Arbitration Clause 554
B. The Interim Award on Liability 557
Question 8
Law Applicable to Set-Off 558
Question 9
Interest Claims in International Arbitration 559
Question 10
Determination of Interest Rate 5(50
A. The Gap in the CISC 560
B. The Conflict of Laws Approach 560
C. Filling the Gap with a Damage-Oriented View 560
Question 11
The Decision on (Jests 562
A. Arbitrator’s Decision on Costs 562
B. Guidelines for the Allocation of Costs 563
C. Reasonableness of Cost for Legal Representation 564
D. Costs of In-House Counsel 565
26th Scenario
The Second Day of the Hearing: Taking of Evidence 567
Question 1
‘Hybrid’ Taking of Evidence Procedures 569
A. Clash of Legal Cultures 569
B. Best Practice Standards 570
Question 2
Witness Evidence 570
A. Means of Evidence 570
lb Witness Evidence 5/1
1. Types of Witnesses 571
2. T aking o f O at hs 5 72
3. Direct, Cross·· and Re-direct Examination 572
4. Written Witness Statements instead of Direct Testimony 573
5. Coaching of Witnesses 574
Question 3
Written Witness Statements 576
A. Purpose of Written Witness Statements 576
XXXI
Table of Contents
B. Contents of Witness Statement 577
C. Appearance of Witness before Tribunal 578
Question 4
Discovery Procedures before Domestic Courts 579
A. Purpose of Discovery 579
B. Nuisance Value* of Discovery Procedures 580
C. Restrictive Use of Discovery in US Domestic Arbitration 581
Question 5
Document Production in International Arbitration (1) 583
A. Frequency and Timing of Document Production 583
B. Request to Produce 584
1. Prerequisites under Art. 3.3 IBA Rules on the Taking of
Evidence 584
2. The Special Problem of Internal Documents 589
3. E-Discovery: No Need for New Rules 890
4. The Document Production Process, ‘Redfern֊-Schedule*,
Confidentiality 592
Question 6
Document Production in International Arbitration (II) 594
A. Consequence of Party’s Failure to Produce Document 594
B. Counsel’s Ethical Duties in Document Production 595
C. Tribunal’s Right to Order Document Production Absent Request
from Party 597
Question 7
Court Assistance in Taking of Evidence 597
A. The Courts’ Authority to Assist Arbitral Tribunals 597
B. Court’s Duty to Apply Own Lex Fori 598
1. No Discovery Order by German Court 598
2. US Court’s Powers to Assist Tribunals in Discovery 598
a. Assistance for Domestic Tribunals 598
b. international Tribunals Sitting Outside the US 599
C. Arbitrator’s Reluctance to Request Court Assistance 601
Question 8
Evidentiary Pri vileges 60 2
A. Privileges 002
B. Differences in Privileges and Equal Treatment of Parties 605
Question 9
Evaluation of Evidence by International Arbitrators 607
A. Absence of Best Practice Standards 607
xxxii
Table of Contents
B. The Generał Principle: ‘The Burden of Proof Goes with the Burden
of Pleading’ 608
C. Evaluation of Probative Value of the Telephone Memorandum 608
Question 10
Difference between Negotiation, Mediation and Arbitration 609
A. ‘Win/WiiV vs ‘Win/Lose’ 609
B. Judgmental Overconfidence and Selective Perception 610
Question 11
Costs for Translation of Documentary Evidence 611
A. General Cost Decision includes Translation Costs 611
B. Distribution of Costs for Translations 611
27th Scenario
Deliberation of the Tribunal and Rende in ig of the Award 6.(3
Question J
The Tribunal s Authority to Close the Proceedings 614
A. Cios ure o f Proceedings 614
B. Significance of Closing Order 614
C. Reopening of Proceedings after Closing Order 616
Question 2
Deliberations and Drafting of Award 617
A. Final Deliberations of Tribunal 617
B. Drafting of Award 618
C. The Role of Tribunal Secretaries 619
1. Transparency of Appointment Process 619
2. Scope of Assistance for the Tribunal’s Decision-Making 620
Question 3
Dissenting Opinions 626
A. Practice of Dissenting Opinions 626
B. Communication of Dissenting Opinions to Parties 620
Question 4
The Recalcitrant Arbitrator 629
A. Refusal of Arbitrator to Take՝ Part in Voting 629
Ik Admissibility to Continue Arbitration as Truncated Tribunal. 630
b· Appointment of Substitute Arbitrator after Removal of Arbitrator 632
xxxiii
Table of Contents
Question 5
The Award 633
A. Form and Contents of Arbitral Award 633
B. Nationality of Award/Place Where Award Was Made 633
C. Reasons 634
Question 6
Missing Signatures under Award 635
Question 7
Awards vs Procedural Orders 636
A. Typology of Arbitral Awards 636
1. Finality and ‘Res Iudicata5 636
2. Final and Partial Final Arbitral Awards 638
3. Interim (‘Interlocutory , ‘Preliminary } Awards 689
B. Procedural Orders 640
28th Scenario
Correction, interpretation and Setting Aside of the Award 643
Question 1
Correction of Awards 644
A. Arbitral Institutions’ Control of Mistakes of the Tribunal in Drafting
the Award 644
B. Legal Basis for Correction and Supplementation of Award 645
C. NedTrans’ Request for Correction 645
D. NedTrans5 Request for Decision on Costs 646
E. Additional Fee 646
Question 2
Interpretation of Awards 647
A. interpretation of Award by Tribunal 647
B. Request for Interpretation as Disguised Attempt to Reopen
Proceedings 647
Question 3
Combination of Correction and Additional Decision on Costs 649
Question 4
Setting Aside of Awards (I) 650
A. Purpose of Provisions on Challenge of Awards 650
1. The Exclusivity of Setting Aside Actions; Revision of Awards 651
2. No Revision Au Fond: The Principle of Finality of Awards 652
B. The Grounds for Setting Aside 655
xxxiv
Table of Contents
Question 5
Setting Aside of Awards (II) 656
A. Competent Court for Setting Aside 656
B. Mandatory Oral Hearing; Appeal 656
Question 6
Setting Aside of Awards (III) 657
A. Exclusion Agreements 657
1. Admissibility of Exclusion Agreements 657
2. ‘Second Look Doctrine* under New York Convention 658
B. Waiver of Right to Challenge 660
Question 7
Setting Aside of Awards (IV) 661
A. Requirements for Challenge of Award 661
B. Final Arbitral Award 661
1. Court’s Prerogative to Examine Arbitrator’s Decision 661
2. Interim Awards 662
3. Awards Confirming Jurisdiction 663
4. Awards Denying Jurisdiction 663
C. Grounds for Setting Aside 664
1. The Tribunal’s Alleged Misinterpretation of Art. 79 CISC and
of the Hardship Concept 664
a. The ‘Chameleon-Like’ Concept of Public Policy 664
aa. Examples 665
bb. Violation of EU Antitrust Law 666
b. The Arbitrator’s Wrongful Application of the Law 666
2. The Tribunal’s Refusal to Attach Dr Regli’s Dissenting Opinion
to the Award 672
3. The Tribunal’s Refusal to Hear an Expert Witness Nominated
by ALT 672
4. No Notification to ALT of NedTrans’ Motion for Correction
and Additional Award on Costs 6/6
Question 8
Setting Aside of Awards (V) 678
A. Effects of Setting Aside 678
ib Remitting Case to Arbitral Tribunal after Setting Aside 678
29 i h Scenario
Enforcement of the Award 681
Question 1
Recognition and Enforcement of Awards 687
A. Award as Decision of Private Judge 682
XXXV
Table of Contents
B. Meaning of Recognition and Enforcement 682
Question 2
Compliance with Award by the Losing Party 683
A, Frequency of Voluntary Compliance with Award 683
B. Reasons for Voluntary Compliance with Award by Losing Party 683
Question 3
Requirements for Recognition and Enforcement 684
Question 4
Setting Aside and Enforcement 685
A. Relationship between Setting Aside at Seat of Arbitration and
Enforcement Abroad 685
lb Parallels between Grounds for Setting Aside and Grounds for Refusal
of Enforcement 686
Question 5
Significance of Art. V New York Convention 687
A. Pro Arbitration Bias of Art. V New York Convention 687
B, Errors of Fact or Law No Ground for Refusal of Enforcement 688
Bibliography 691
Subject Index 729
xxxvi
|
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| spelling | Berger, Klaus Peter 1961- Verfasser (DE-588)142241164 aut Private dispute resolution in international business negotiation, mediation, arbitration 2 Handbook Klaus Peter Berger 3., rev. ed. The Hague [u.a.] Kluwer Law Internat. 2015 Alphen aan den Rijn Wolters Kluwer Law & Business 2015 LVII, 739 S. txt rdacontent n rdamedia nc rdacarrier (DE-604)BV021559404 2 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=028189594&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Berger, Klaus Peter 1961- Private dispute resolution in international business negotiation, mediation, arbitration |
| title | Private dispute resolution in international business negotiation, mediation, arbitration |
| title_auth | Private dispute resolution in international business negotiation, mediation, arbitration |
| title_exact_search | Private dispute resolution in international business negotiation, mediation, arbitration |
| title_full | Private dispute resolution in international business negotiation, mediation, arbitration 2 Handbook Klaus Peter Berger |
| title_fullStr | Private dispute resolution in international business negotiation, mediation, arbitration 2 Handbook Klaus Peter Berger |
| title_full_unstemmed | Private dispute resolution in international business negotiation, mediation, arbitration 2 Handbook Klaus Peter Berger |
| title_short | Private dispute resolution in international business |
| title_sort | private dispute resolution in international business negotiation mediation arbitration handbook |
| title_sub | negotiation, mediation, arbitration |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=028189594&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
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