Investor-state arbitration:
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| Main Authors: | , , |
|---|---|
| Format: | Book |
| Language: | English |
| Published: |
Oxford
Oxford University Press
2019
|
| Edition: | Second edition |
| Subjects: | |
| Online Access: | Inhaltsverzeichnis |
| Item Description: | Aus dem Vorwort: "This is the second edition of Investor-state arbitration...Mr. Dugan was the lead author of the first edition" |
| Physical Description: | LXXII, 920 Seiten |
| ISBN: | 9780198755760 |
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| 650 | 4 | |a Investments, Foreign (International law) | |
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Record in the Search Index
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| adam_text | TABLE OF CONTENTS
TABLE OF CASES XXI
TABLE OF TREATIES, CONVENTIONS, AND INTERNATIONAL AGREEMENTS LV
GUIDANCE ON CITATIONS AND SOURCES LXIII
ABBREVIATIONS LXV
ABOUT THE AUTHORS LXXI
I. INTRODUCTION
A. OVERVIEW 1.01
B. THE IMPORTANCE OF INVESTMENT FLOWS FOR CAPITAL IMPORTERS
AND EXPORTERS 1.05
C. BITS AND ISDS AS MECHANISMS TO PROVIDE SECURITY, ATTRACT AND
PROTECT FOREIGN INVESTMENT 1.12
D. EARLY EXPERIENCES WITH THE ISDS, BACKLASH, AND POSSIBLE REFORM 1.18
E. TOPICS COVERED IN THE SECOND EDITION 1.33
II. HISTORY AND LIMITATIONS OF THE TRADITIONAL SYSTEM FOR RESOLVING
INVESTMENT DISPUTES
A. HARM SUFFERED BY FOREIGN INVESTORS 2.01
B. BARRIERS TO RECOVERY BY FOREIGN INVESTORS 2.05
1. BARRIERS IN HOST COUNTRY COURTS 2.05
A. LOCAL BIAS 2.06
B. STATE IMMUNITY 2.07
C. INEFFICIENT LOCAL COURTS 2.11
D. CALVO DOCTRINE 2.12
2. BARRIERS IN FOREIGN INVESTORS HOME COURTS 2.15
A. JURISDICTION 2.16
B. FOREIGN SOVEREIGN IMMUNITY 2.18
C. ACT OF STATE DOCTRINE 2.21
D. CHOICE OF LAW 2.23
3. POLITICAL BARRIERS: THE NEW INTERNATIONAL ECONOMIC ORDER 2.24
C. TRADITIONAL REMEDIES FOR FOREIGN INVESTORS 2.30
1. GUNBOAT DIPLOMACY 2.31
2. DIPLOMATIC ESPOUSAL 2.35
A. PRACTICE OF ESPOUSAL 2.35
B. THE LIMITATIONS OF ESPOUSAL 2.39
D. SOME EARLY INVESTMENT PROTECTION REGIMES 2.46
1. JAY TREATY (1794) 2.47
2. AD HOC ARBITRATION 2.50
3. BINATIONAL CLAIMS COMMISSIONS 2.52
4. FRIENDSHIP, COMMERCE, AND NAVIGATION TREATIES 2.55
5. LUMP SUM SETTLEMENT AGREEMENTS 2.56
6. INVESTMENT GUARANTEE PROGRAMMES 2.59
7. THE ALGIERS ACCORDS 2.61
E. LIMITATIONS OF HISTORIC DISPUTE SETTLEMENT PROCESSES 2.63
XII TABLE OF CONTENTS
III. THE MODERN SYSTEM OF INVESTOR-STATE ARBITRATION
A. ORIGINS 3.01
B. ICSID AND ITS CENTRAL ROLE IN THE MODERN SYSTEM OF INVESTOR-STATE
ARBITRATION 3.11
C. BILATERAL INVESTMENT TREATIES 3.15
D. MULTILATERAL INVESTMENT TREATIES AND INVESTMENT CHAPTERS OF FREE
TRADE AGREEMENTS 3.22
1. NORTH AMERICAN FREE TRADE AGREEMENT (NAFTA) AND ITS SUCCESSOR 3.23
2. ENERGY CHARTER TREATY 3.29
3. THE DOMINICAN REPUBLIC-CENTRAL AMERICAN-UNITED STATES FREE
TRADE AGREEMENT 3.37
4. THE ASSOCIATION OF SOUTH EAST ASIAN NATIONS (ASEAN) 3.39
5. MULTILATERAL INVESTMENT AGREEMENTS AMONG ISLAMIC COUNTRIES 3.42
6. TRANS-PACIFIC PARTNERSHIP AGREEMENT (TPP), TPP-11, TTIP, AND
OTHER AGREEMENTS 3.43
E. NATIONAL INVESTMENT LEGISLATION 3.50
IV. COMMONLY USED PROCEDURAL RULES
A. INTRODUCTION 4.01
B. ICSID RULES 4.04
C. UNCITRAL ARBITRATION RULES 4.06
D. STOCKHOLM CHAMBER OF COMMERCE RULES 4.15
E. INTERNATIONAL CHAMBER OF COMMERCE RULES 4.20
F. PERMANENT COURT OF ARBITRATION 4.23
G. COMPARISON OF THE ICSID AND UNCITRAL RULES 4.25
1. ICSID CONVENTION REQUIREMENTS AND THE ICSID SCREENING ROLE 4.30
2. PLACE OF ARBITRATION 4.32
3. LANGUAGE OF ARBITRATION 4.34
4. APPOINTMENT OF ARBITRATORS 4.35
5. GOVERNING LAW 4.37
6. MECHANISMS FOR EARLY DISMISSAL OF FRIVOLOUS CLAIMS 4.40
7. COST AND SPEED 4.43
8. INTERIM MEASURES 4.49
9. EMERGENCY ARBITRATOR 4.51
10. CHALLENGE AND ENFORCEMENT OF AWARDS 4.55
11. CONSOLIDATION AND MASS (OR MULTIPARTY) CLAIMS 4.59
12. TRANSPARENCY AND AMID CURIAE 4.65
V. NATIONAL COURT INTERFERENCE: ANTI- ARBITRATION INJUNCTIONS
A. INTRODUCTION 5.01
B. ANTI-ARBITRATION INJUNCTIONS IN INVESTMENT TREATY AND ICSID
ARBITRATION 5.04
C. BASES FOR COURT INTERVENTION IN INTERNATIONAL COMMERCIAL ARBITRATION
5.11
D. ANTI-ARBITRATION INJUNCTIONS IN NON-ICSID INVESTMENT ARBITRATIONS
5.12
VI. THE COURSE OF AN INVESTMENT ARBITRATION: OVERVIEW OF THE PROCEDURE
A. INTRODUCTION 6.01
B. APPLICABLE PROCEDURAL RULES 6.02
C. WAITING PERIODS 6.08
D. LOCAL REMEDIES 6.12
TABLE OF CONTENTS XIII
E. NOTICE OF CLAIM AND REQUEST FOR ARBITRATION 6.15
1. NOTICE OF CLAIM 6.16
2. REQUEST FOR ARBITRATION 6.18
F. DYNAMICS ON THE HOST STATE SIDE UPON RECEIVING A NOTICE OF CLAIM 6.26
G. THIRD PARTY FUNDING 6.29
H. REGISTRATION OR APPROVAL BY ARBITRAL INSTITUTION 6.31
I. DEFAULT OF A PARTY 6.34
J. COMPOSITION OF TRIBUNAL 6.37
1. QUALIFICATIONS OF ARBITRATORS 6.37
2. ARBITRATOR SELECTION PROCEDURES 6.44
K. POWERS OF ARBITRAL TRIBUNALS 6.47
1. OVERVIEW 6.47
2. INHERENT POWERS OF ARBITRAL TRIBUNALS 6.49
L. SEAT OF ARBITRATION 6.51
M. LANGUAGE OF ARBITRATION 6.53
N. INITIAL SESSION OF THE TRIBUNAL 6.54
O. JURISDICTION^ PHASE 6.55
1. BIFURCATION OF PROCEEDINGS 6.55
2. STANDARD OF PROOF WITH RESPECT TO MERITS AT JURISDICTION PHASE:
OIL PLATFORM TEST 6.67
3. JURISDICTION AND ADMISSIBILITY 6.71
P. MERITS PHASE 6.75
1. BRIEFING 6.75
2. HOST STATE DEFENCES 6.76
3. COUNTERCLAIMS 6.80
A. OVERVIEW 6.80
B. RATIONE MATERIAE JURISDICTION 6.85
C. RATIONE PERSONAE JURISDICTION 6.89
D. CONNECTION BETWEEN COUNTERCLAIM AND PRIMARY CLAIMS 6.91
E. ADDITIONAL CASE STUDIES 6.96
Q. WITNESS STATEMENTS AND OTHER EVIDENCE 6.102
1. WITNESS STATEMENTS 6.104
2. DOCUMENT PRODUCTION FROM PARTIES TO THE DISPUTE 6.105
3. EVIDENTIARY PRIVILEGES 6.111
4. BURDEN AND STANDARD OF PROOF 6.126
5. EVIDENCE COLLECTION FROM THIRD PARTIES 6.136
6. US PROCEDURES AND EVIDENCE TAKING FROM THIRD PARTIES 6.138
R. DAMAGES PHASE 6.147
S. HEARINGS 6.148
T. POSTHEARING BRIEFS 6.149
U. AWARD 6.150
V. ENFORCEMENT AND CHALLENGE OF AWARD 6.154
VII. SPECIAL PROCEDURES: APPLICATIONS AND MOTIONS
A. INTRODUCTION 7.01
B. CHALLENGE OF ARBITRATORS 7.02
1. QUALITIES REQUIRED OF AN ARBITRATOR 7.03
2. ARBITRATORS DUTY TO DISCLOSE 7.05
3. CHALLENGE PROCEDURE UNDER THE ICSID RULES 7.13
XIV TABLE OF CONTENTS
4. APPLICABLE STANDARD 7.16
5. ICSID CASE STUDIES 7.20
6. CHALLENGE OF ARBITRATORS UNDER THE UNCITRAL RULES 7.36
C. EARLY DISMISSAL OF FRIVOLOUS CLAIMS 7.40
D. ARBITRATOR-ORDERED INTERIM RELIEF 7.44
1. PROVISIONAL MEASURES UNDER THE ICSID CONVENTION 7.45
A. LEGAL FRAMEWORK 7.45
B. EFFECT OF ICSID RECOMMENDATION 7.48
C. STANDARD FOR GRANTING INTERIM RELIEF IN ICSID CASES 7.49
2. GRANTING INTERIM RELIEF UNDER THE UNCITRAL ARBITRATION RULES 7.50
A. LEGAL FRAMEWORK 7.50
B. STANDARD FOR GRANTING INTERIM RELIEF UNDER THE UNCITRAL
ARBITRATION RULES 7.53
3. REQUESTS FOR INTERIM RELIEF: CASE STUDIES 7.55
A. OBTAINING EVIDENCE 7.56
B. FINANCIAL GUARANTEES AND SECURITY FOR COSTS 7.58
C. PRESERVING CONFIDENTIALITY 7.61
D. ENJOINING PARALLEL PROCEEDINGS 7.65
E. AMICUS CURIAE SUBMISSIONS AND TRANSPARENCY 7.81
F. CONSOLIDATION, MULTIPARTY AND MASS CLAIMS 7.99
1. INTRODUCTION 7.99
2. CONSOLIDATION IN ICSID 7.105
3. UNCITRAL ARBITRATION RULES AND JOINDER OF PROCEEDINGS 7.112
4. NORTH AMERICAN FREE TRADE AGREEMENT ARTICLE 1126 7.118
5. CONSOLIDATION PROVISIONS IN MODERN INVESTMENT TREATIES 7.127
6. MASS CLAIMS 7.130
VIII. GOVERNING LAW IN INVESTMENT DISPUTES
A. INTRODUCTION 8.01
B. THE CHOICE OF LAW AND CONFLICT RESOLUTION PROVISIONS 8.02
C. PUBLIC INTERNATIONAL LAW 8.11
1. INTERNATIONAL INVESTMENT TREATIES AND THEIR INTERPRETATION 8.14
2. CUSTOMARY INTERNATIONAL LAW 8.22
3. GENERAL PRINCIPLES OF LAW 8.24
4. THE ROLE OF PRECEDENT 8.25
D. HOST STATE LAW 8.26
1. TREATMENT OF HOST STATE LAW UNDER ICSID ARTICLE 42(1) 8.27
2. TREATMENT OF HOST STATE LAW IN NON-ICSID CASES 8.35
IX. CONSENT TO ARBITRAL JURISDICTION
A. INTRODUCTION 9.01
B. FUNDAMENTAL CONCEPTS RELATING TO CONSENT 9.02
1. METHODS OF STATE CONSENT TO ARBITRATION 9.02
2. METHODS OF ACCEPTING THE STATE S OFFER TO ARBITRATE 9.04
3. IRREVOCABILITY OF CONSENT 9.07
4. LEGALITY OF INVESTMENTS AS A CONDITION OF CONSENT 9.08
C. METHODS OF STATE CONSENT TO ARBITRATION 9.13
1. INVESTMENT PROTECTION TREATIES CONTAINING CONSENT TO ARBITRATION 9.13
2. ARBITRATION CLAUSES IN INVESTMENT CONTRACTS 9.21
3. NATIONAL INVESTMENT LEGISLATION 9.25
4. INVESTMENT ARBITRATION BASED ON A COMPROMIS 9.34
TABLE OF CONTENTS XV
X. NOTION OF INVESTMENT
A. INTRODUCTION 10.01
B. ADMISSION, ESTABLISHMENT, AND PROTECTION OF PRE-INVESTMENT ACTIVITIES
10.03
C. DEFINITION OF INVESTMENT IN INVESTMENT TREATIES 10.12
1. NON-EXHAUSTIVE LISTS IN INVESTMENT TREATIES 10.12
2. EXHAUSTIVE LISTS IN INVESTMENT TREATIES 10.14
3. 2004 US MODEL BIT APPROACH 10.16
D. DEFINITION OF INVESTMENT AND ITS IMPLICATIONS FOR THE JURISDICTION OF
ARBITRAL TRIBUNALS UNDER THE ICSID CONVENTION 10.20
1. TRAVAUX PREPARATOIRES OF THE ICSID CONVENTION REGARDING THE NOTION
OF INVESTMENT UNDER ARTICLE 25 10.20
2. DUAL JURISDICTIONAL REQUIREMENTS FOR SUBMISSION OF A CASE TO
ARBITRATION UNDER THE ICSID CONVENTION 10.25
E. CHARACTERISTICS OF DIVESTMENT UNDER ARTICLE 25 OF THE ICSID
CONVENTION 10.28
1. OVERVIEW 10.28
2. DURATION OF AN ACTIVITY 10.34
3. ASSUMPTION OF RISK 10.38
4. SIGNIFICANT CONTRIBUTION OF RESOURCES TO THE HOST STATE 10.41
5. CONTRIBUTION TO ECONOMIC DEVELOPMENT OF THE HOST STATE 10.43
F. THE CONCEPT OF UNITY OF INVESTMENT UNDER THE ICSID CONVENTION 10.50
G. CONTRIBUTION, DURATION, AND RISK IN NON-ICSID CASES: ROMAK
V. UZBEKISTAN AND ITS PROGENY 10.53
H. SURVEY OF OTHER NON-ICSID CASES ON MEANING OF INVESTMENT 10.58
XL INVESTORS
A. NATURAL PERSONS 11.03
1. NATIONAL LAWS 11.03
2. CUSTOMARY INTERNATIONAL LAW 11.05
3. INVESTMENT TREATIES AND THE ICSID CONVENTION 11.11
4. CLAIMS OF DUAL NATIONALS 11.17
B. LEGAL PERSONS 11.25
1. INVESTMENT TREATY PROVISIONS 11.25
2. DENIAL OF BENEFITS 11.34
3. LOCAL COMPANIES CONTROLLED BY FOREIGN INVESTORS UNDER THE ICSID
CONVENTION 11.35
4. STANDING OFCOMPANIES CONTROLLED BY NATIONALS OF THE HOST STATE 11.41
A. TOKIOSV. UKRAINE 11.42
B. TS A V.ARGENTINA 11.50
C. SHAREHOLDER LOSSES, STANDING, AND SCOPE OF RECOVERY 11.55
1. DIRECT, REFLECTIVE, AND DERIVATIVE LOSSES 11.55
2. STANDING 11.56
A. CUSTOMARY INTERNATIONAL LAW 11.56
B. INVESTMENT TREATIES 11.62
3. SCOPE OF RECOVERY 11.67
A. STANDARD INVESTMENT TREATIES: DIRECT AND REFLECTIVE LOSS 11.67
B. DIRECT, REFLECTIVE, AND DERIVATIVE LOSSES UNDER NAFTA
AND ITS PROGENY 11.71
D. CHANGE OF NATIONALITY AND TREATY SHOPPING 11.73
1. CONTINUITY OF NATIONALITY UNDER CUSTOMARY INTERNATIONAL LAW 11.74
2. CHANGE OF NATIONALITY AND INVESTMENT TREATIES 11.75
XVI TABLE OF CONTENTS
3. CHANGE OF NATIONALITY AND THE ICSID CONVENTION 11.78
4. TREATY SHOPPING H-
83
XII. JURISDICTION RATIONE TEMPORIS
A. APPLICATION TO ACTS BEFORE A TREATY S ENTRY INTO FORCE 12.06
1. NON-RETROACTIVITY OF TREATY OBLIGATIONS 12.06
2. CONTINUOUS ACTS 12.12
3. COMPOSITE ACTS 12.16
4. PROVISIONAL APPLICATION 12.18
5. ARTICLE 18 OF THE VIENNA CONVENTION 12.22
6. CLAIMS BASED ON NORMS BESIDES THE TREATY ITSELF 12.27
B. DISPUTES ARISING BEFORE A TREATY S ENTRY INTO FORCE 12.31
C. LACHES AND EXTINCTION 12.36
D. TERMINATION AND SURVIVAL OR SUNSET CLAUSES 12.42
XIII. EXHAUSTION OF LOCAL REMEDIES
A. EXHAUSTION OF LOCAL REMEDIES AND THE NOTION OF FUTILITY 13.01
1. OVERVIEW 13.01
2. FINNISH SHIPS ARBITRATION AND THE OBVIOUS FUTILITY TEST 13.07
3. THE INTERNATIONAL LAW COMMISSION: JOHN DUGARD S
FORMULATION OF THE TEST FOR EXHAUSTION OF LOCAL REMEDIES
AND EXCEPTIONS 13.09
4. CASE STUDIES 13.13
A. INTERHANDEL CASE (SWITZERLAND V. UNITED STATES) 13.13
B. LOEWEN V. UNITED STATES 13.14
B. PURSUIT OF LOCAL REMEDIES IN INVESTMENT TREATY ARBITRATION 13.20
1. RECOURSE TO LOCAL COURTS AS A PROCEDURAL REQUIREMENT 13.20
2. EXHAUSTION AS A SUBSTANTIVE ELEMENT OF AN INTERNATIONAL WRONG
INVOLVING JUDICIAL CONDUCT 13.22
A. LOEWEN, DENIAL OF JUSTICE, AND EXHAUSTION 13.25
B. JUDICIAL EXPROPRIATION AND EXHAUSTION 13.27
XIV. ELECTION OF FORUM: TREATY ARBITRATION, NATIONAL COURTS
OR CONTRACT ARBITRATION
A. OVERVIEW 14.01
B. TREATY CLAIMS, CONTRACT CLAIMS, AND JURISDICTION OF INTERNATIONAL
TRIBUNALS 14.02
C. FORK IN THE ROAD AND WAIVER PROVISIONS: TREATY TEXTS 14.05
1. FORK IN THE ROAD 14.05
2. WAIVER PROVISIONS 14.08
3. THE POLICY BEHIND FORK IN THE ROAD AND WAIVER PROVISIONS 14.11
4. CASE STUDIES ON FORK IN THE ROAD CLAUSES AND APPLICABLE TESTS 14.13
A. OVERVIEW 14.13
B. CASES APPLYING THE TRIPLE IDENTITY TEST 14.16
C. CASES APPLYING FUNDAMENTAL BASIS OF THE CLAIM TEST 14.25
5. CASE STUDIES ON WAIVER PROVISIONS (CHOICE OF FORUM WITH
RESPECT TO MEASURES) 14.27
D. CONTRACTUAL FORUM SELECTION CLAUSES 14.33
1. OVERVIEW 14.33
2. VIVENDI V.ARGENTINA ANNULMENT DECISION (2002) 14.36
3. POST-2002 VIVENDI JURISPRUDENCE ON CONTRACTUAL FORUM
SELECTION CLAUSES 14.38
TABLE OF CONTENTS XV11
XV. UMBRELLA CLAUSES
A. INTRODUCTION 15.01
B. HISTORICAL BACKGROUND AND VARIOUS FORMULATIONS OF UMBRELLA CLAUSES
15.03
C. ARBITRAL DECISIONS INVOLVING UMBRELLA CLAUSES 15.05
D. CONCLUSION 15.14
XVI. STATE RESPONSIBILITY, ATTRIBUTION, AND CIRCUMSTANCES PRECLUDING
WRONGFULNESS
A. INTRODUCTION 16.01
B. ATTRIBUTION 16.03
1. ATTRIBUTION OF CONDUCT OF STATE ORGANS TO THE STATE (ARTICLE 4 OF THE
ILC ARTICLES) 16.05
2. ATTRIBUTION OF CONDUCT OF PERSONS OR ENTITIES EXERCISING ELEMENTS OF
GOVERNMENTAL AUTHORITY (ARTICLE 5 OF THE ILC ARTICLES) 16.09
3. ATTRIBUTION OF CONDUCT DIRECTED OR CONTROLLED BY A STATE (ARTICLE 8
OF
THE ILC ARTICLES) 16.17
C. CIRCUMSTANCES PRECLUDING WRONGFULNESS UNDER CUSTOMARY
INTERNATIONAL LAW 16.25
1. OVERVIEW 16.25
2. NECESSITY (ARTICLE 25 OF THE ILC ARTICLES) 16.27
3. COUNTERMEASURES (ARTICLE 22 OF THE ILC ARTICLES) 16.38
4. CONSEQUENCES OF INVOKING A CIRCUMSTANCE PRECLUDING WRONGFULNESS
(ARTICLE 27 OF THE ILC ARTICLES) 16.41
D. NON-PRECLUDED MEASURES CLAUSES 16.45
XVII. DISCRIMINATION: NATIONAL TREATMENT, MOST-FAVOURED NATION
TREATMENT, AND DISCRIMINATORY IMPAIRMENT
A. NATIONAL TREATMENT 17.02
1. INTRODUCTION 17.02
2. APPLICATION OF THE NATIONAL TREATMENT STANDARD 17.04
A. RELEVANT CLASS OF COMPARATORS: LIKE CIRCUMSTANCES 17.06
B. RELEVANT STANDARD OF TREATMENT: NO LESS FAVOURABLY 17.22
C. PROOF OF DISCRIMINATORY INTENT BASED ON NATIONALITY 17.31
B. MOST FAVOURED NATION TREATMENT 17.34
1. OVERVIEW 17.34
2. SCOPE AND INTERPRETATION OF MOST FAVOURED NATION CLAUSES 17.39
3. MOST FAVOURED NATION EXCEPTIONS AND CARVE-OUTS 17.41
4. APPLICATION OF MOST FAVOURED NATION CLAUSES TO SUBSTANTIVE AND
PROCEDURAL RIGHTS 17.47
A. PROCEDURAL RIGHTS: MAFFEZINI V. SPAIN AND PLAMA V. BULGARIA 17.49
B. PROCEDURAL RIGHTS: POST-MAFFEZINI 17.54
C. MOST FAVOURED NATION AND IMPORTATION OF SUBSTANTIVE RIGHTS 17.58
D. RECENT TREND: MOST FAVOURED NATION CANNOT IMPORT SUBSTANTIVE
PROVISIONS; RATHER IT ONLY PROTECTS AGAINST ACTUAL DISCRIMINATION 17.64
C. DISCRIMINATORY IMPAIRMENT 17.70
XVIII. EXPROPRIATION
A. HISTORICAL OVERVIEW OF EXPROPRIATION 18.03
1. INTRODUCTION 18.03
2. PRE-SECOND WORLD WAR PERIOD 18.06
3. POST-SECOND WORLD WAR PERIOD UNTIL PRESENT 18.10
XVIII TABLE OF CONTENTS
B. IDENTIFICATION OF INVESTMENTS AND PROPERTY PROTECTED AGAINST
EXPROPRIATION 18.17
1. OVERVIEW 18.17
2. CONTRACTUAL RIGHTS 18.23
3. INTELLECTUAL PROPERTY RIGHTS 18.27
C. THE ROLE OF INVESTMENT TREATIES 18.30
D. INDIRECT OR REGULATORY EXPROPRIATION 18.40
1. OVERVIEW 18-40
2. RELEVANT FACTORS FOR IDENTIFYING AN INDIRECT EXPROPRIATION 18.49
A. THE EFFECT OF THE GOVERNMENT MEASURES 18.50
B. THE INTENT, PURPOSE, NATURE, OR CHARACTER OF THE GOVERNMENTAL ACT
OR MEASURE 18.59
C. LEGITIMATE RELIANCE ON GOVERNMENT REPRESENTATIONS 18.68
D. DURATION OF EFFECT OF ACT OR MEASURE 18.72
E. DOMESTIC REMEDIES SOUGHT 18.73
F. TRANSFER OF INVESTMENT BENEFIT TO THE GOVERNMENT OR TO THIRD PARTIES
18.75
G. OTHER FACTORS 18.77
E. THE US APPROACH TO INDIRECT OR REGULATORY EXPROPRIATION 18.79
XIX. FAIR AND EQUITABLE TREATMENT , FULL PROTECTION AND SECURITY , AND
WAR CLAUSES
A. INTRODUCTION 19.01
B. FAIR AND EQUITABLE TREATMENT 19.03
1. HISTORY 19.04
2. INTERPRETATIVE APPROACHES: AUTONOMOUS FET CLAUSES VERSUS FET
CLAUSES EMBODYING THE MINIMUM STANDARD 19.07
3. FET (AND FPS) AND ITS RELATION TO THE MINIMUM STANDARD UNDER
CUSTOMARY INTERNATIONAL LAW 19.12
4. APPLICATION AND CONTENT OF THE FAIR AND EQUITABLE TREATMENT 19.20
A. OVERVIEW 19.20
B. LEGITIMATE OR REASONABLE EXPECTATIONS 19.24
C. ARBITRARY TREATMENT 19.31
D. CONSISTENCY AND STABILITY 19.42
E. TRANSPARENCY 19.60
F. COERCION, HARASSMENT, INTIMIDATION 19.69
G. DISCRIMINATION 19.73
H. PROPORTIONALITY 19.76
I. DENIAL OF JUSTICE, DUE PROCESS, AND EFFECTIVE MEANS 19.79
C. FULL PROTECTION AND SECURITY 19.100
1. HISTORICAL DEVELOPMENT OF THE OBLIGATION TO ENSURE PROTECTION
AND SECURITY 19.101
2. MODERN INVESTMENT TREATIES AND THE MEANING OF PROTECTION
AND SECURITY 19.105
3. CASE STUDIES 19.108
D. WAR CLAUSES AND THEIR RELATION TO FULL PROTECTION AND SECURITY 19.112
XX. TRANSFERS
A. INTRODUCTION 20.01
B. THE IMF ARTICLES OF AGREEMENT AND OTHER MULTILATERAL INSTRUMENTS
REGULATING TRANSFERS 20.05
C. TRANSFER PROVISIONS IN INVESTMENT TREATIES 20.09
1. OVERVIEW 20 09
TABLE OF CONTENTS XIX
2. THE SCOPE OF TRANSFER PROVISIONS 20.12
3. TRANSFERS IN KIND 20.17
4. CURRENCY CONVERTIBILITY AND EXCHANGE RATES 20.20
D. BALANCE OF PAYMENTS AND OTHER EXCEPTIONS 20.25
XXI. COMPENSATION, DAMAGES, AND RESTITUTION
A. INTRODUCTION 21.01
B. THE TREATY STANDARDS OF COMPENSATION 21.03
C. THE REPARATION PRINCIPLE AND THE CHORZDW FACTORY STANDARD 21.07
1. RESTITUTION AND OTHER NON-PECUNIARY REMEDIES 21.12
2. ASSESSMENT OF COMPENSATION PURSUANT TO THE CHORZDW FACTORY
STANDARD 21.23
D. EFFECT OF LEGALITY AND ILLEGALITY OFSTATE CONDUCT ON COMPENSATION
21.27
E. LIMITATIONS ON COMPENSATION 21.30
1. CAUSATION 21.31
2. CONTRIBUTION TO INJURY 21.40
3. MITIGATION OF LOSSES 21.43
4. SPECULATION AND UNCERTAINTY OF DAMAGES 21.44
5. DOUBLE RECOVERY 21.47
6. EQUITY AND DISCRETION 21.48
E QUANTIFICATION OF DAMAGES 21.49
1. FAIR MARKET VALUE 21.52
2. VALUATION DATE 21.54
3. USE OF HINDSIGHT 21.58
4. APPROACHES TO QUANTIFICATION OF DAMAGES 21.62
A. MARKET-BASED APPROACH 21.63
B. INCOME-BASED APPROACH 21.64
C. ASSET-BASED APPROACHES 21.76
D. LOSSOFCHANCE 21.77
G. MORAL DAMAGES 21.85
H. INTEREST 21.94
1. OVERVIEW 21.94
2. PRE-AWARDAND POST-AWARD INTEREST 21.96
3. LEGAL BASES FOR AWARDING INTEREST 21.98
A. INVESTMENT TREATIES 21.98
B. REPARATION PRINCIPLE 21.103
C. NATIONAL LEGISLATION 21.110
D. CONTRACT TERMS 21.116
E. OTHER SOURCES 21.119
4. INTEREST RATE 21.120
5. DATE FROM WHICH INTEREST ACCRUES 21.126
6. COMPOUNDING INTEREST 21.130
I. ALLOCATION OF ARBITRATION AND LEGAL COSTS 21.136
1. INTRODUCTION 21.136
2. COST AWARDS UNDER THE UNCITRAL RULES 21.143
3. COST AWARDS UNDER THE ICSID RULES 21.153
4. CALCULATION OF GOVERNMENT LEGAL FEES 21.162
XXII. ANNULMENT, SET ASIDE, AND REFUSAL TO ENFORCE
A. ANNULMENT OF ICSID AWARDS 22.03
1. OVERVIEW 22.03
XX TABLE OF CONTENTS
2. STAY OF ENFORCEMENT OF ICSID AWARDS
A. OVERVIEW
B. STAY OF ENFORCEMENT AND PARALLEL PROCEEDINGS
3. GROUNDS FOR ANNULMENT
A. ARTICLE 52(L)(A): THE TRIBUNAL WAS NOT PROPERLY CONSTITUTED
B. ARTICLE 52(L)(B): THE TRIBUNAL MANIFESTLY EXCEEDED ITS POWERS
C. ARTICLE 52(L)(C): ARBITRATOR CORRUPTION
D. ARTICLE 52(L)(D): SERIOUS DEPARTURE FROM A FUNDAMENTAL RULE OF
PROCEDURE
E. ARTICLE 52(1 )(E): FAILURE TO STATE THE REASONS ON WHICH THE AWARD
WAS BASED
B. SETTING ASIDE AND BLOCKING ENFORCEMENT OF NON-ICSID AWARDS
1. OVERVIEW
2. STAY OF ENFORCEMENT OF NON-ICSID AWARDS
3. GROUNDS FOR SETTING ASIDE OR REFUSING TO ENFORCE NON-ICSID AWARDS
A. INVALIDITY OF THE AGREEMENT TO ARBITRATE
B. INABILITY TO PRESENT THE CASE
C. EXCESS OF AUTHORITY
D. IRREGULARITY IN THE CONDUCT OF PROCEEDING
E. AWARD HAS BEEN SET ASIDE AT THE SEAT OF ARBITRATION
F. NON-ARBITRABILIRY
G. PUBLIC POLICY
H. MANIFEST DISREGARD OF THE LAW AND OTHER SUBSTANTIVE GROUNDS
XXIII. ENFORCEMENT AND EXECUTION
A. INTRODUCTION
B. TERMINOLOGY: CONFIRMATION, RECOGNITION, ENFORCEMENT,
AND EXECUTION
C. LEGAL FRAMEWORK GOVERNING RECOGNITION AND ENFORCEMENT
OF AWARDS
1. NEW YORK CONVENTION
2. THE ICSID CONVENTION
D. EXECUTION OF AWARDS
1. OVERVIEW
2. SOVEREIGN IMMUNITY
3. CASE STUDIES
A. BELGIUM
B. SWEDEN
C. UNITED KINGDOM
D. UNITED STATES
4. EXECUTION AGAINST ASSETS OF STATE-OWNED ENTITIES
A. CANADA
B. FRANCE
C. UNITED STATES
SELECTED BIBLIOGRAPHY
INDEX
22.09
22.09
22.13
22.22
22.25
22.29
22.52
22.53
22.64
22.71
22.71
22.79
22.82
22.82
22.95
22.98
22.126
22.135
22.139
22.142
22.170
23.01
23.03
23.04
23.04
23.06
23.11
23.11
23.13
23.20
23.20
23.21
23.25
23.29
23.32
23.33
23.38
23.40
861
|
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| indexdate | 2024-07-10T08:05:51Z |
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| spelling | Sabahi, Borzu Verfasser (DE-588)1023105446 aut Investor-state arbitration Borzu Sabahi, Noah Rubins, Don Wallace Jr Second edition Oxford Oxford University Press 2019 LXXII, 920 Seiten txt rdacontent n rdamedia nc rdacarrier Aus dem Vorwort: "This is the second edition of Investor-state arbitration...Mr. Dugan was the lead author of the first edition" Arbitration and award, International Investments, Foreign (International law) Compensation (Law) Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd rswk-swf Auslandsinvestition (DE-588)4003772-1 gnd rswk-swf Investitionskontrolle (DE-588)4162250-9 gnd rswk-swf USA (DE-588)4078704-7 gnd rswk-swf USA (DE-588)4078704-7 g Investitionskontrolle (DE-588)4162250-9 s DE-604 Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 s Auslandsinvestition (DE-588)4003772-1 s Rubins, Noah Verfasser (DE-588)1028589492 aut Wallace, Don 1932- Verfasser (DE-588)128355387 aut Dugan, Christopher F. Begründer eines Werks (DE-588)1028336012 oth SWB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=030353075&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Sabahi, Borzu Rubins, Noah Wallace, Don 1932- Investor-state arbitration Arbitration and award, International Investments, Foreign (International law) Compensation (Law) Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd Auslandsinvestition (DE-588)4003772-1 gnd Investitionskontrolle (DE-588)4162250-9 gnd |
| subject_GND | (DE-588)4162055-0 (DE-588)4003772-1 (DE-588)4162250-9 (DE-588)4078704-7 |
| title | Investor-state arbitration |
| title_auth | Investor-state arbitration |
| title_exact_search | Investor-state arbitration |
| title_full | Investor-state arbitration Borzu Sabahi, Noah Rubins, Don Wallace Jr |
| title_fullStr | Investor-state arbitration Borzu Sabahi, Noah Rubins, Don Wallace Jr |
| title_full_unstemmed | Investor-state arbitration Borzu Sabahi, Noah Rubins, Don Wallace Jr |
| title_short | Investor-state arbitration |
| title_sort | investor state arbitration |
| topic | Arbitration and award, International Investments, Foreign (International law) Compensation (Law) Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd Auslandsinvestition (DE-588)4003772-1 gnd Investitionskontrolle (DE-588)4162250-9 gnd |
| topic_facet | Arbitration and award, International Investments, Foreign (International law) Compensation (Law) Internationale Schiedsgerichtsbarkeit Auslandsinvestition Investitionskontrolle USA |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=030353075&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
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