The Principles and Practice of International Commercial Arbitration

Höfundur: Margaret L. Moses (Útgáfa: 4)
The Principles and Practice of International Commercial Arbitration

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This book not only deals with the broad application of international treaties, guidelines, laws and rules affecting international commercial arbitration, but also includes information about the most recent developments in the field. Readers learn how arbitration works, from the request to arbitrate, the selection of arbitrators, the procedures leading up to the hearing, the witnesses and evidence at the hearing, to the granting of the final award.

Along the way, many strategies and tactics come into play, as an arbitration moves toward the goal of resolving the dispute. The reader learns to appreciate the application of different laws and ethical concepts that may vary by jurisdiction, including the ethical obligations of arbitrators and of counsel. Throughout, the principles of international arbitration are supported by the practice, providing a very concrete approach to the resolution of international disputes by arbitration.

Nánar um bókina

Útgefandi
Cambridge University Press
ISBN
9781009444712
Print ISBN
9781009444767
Format
ePub
Útgáfa
4
Höfundar
Margaret L. Moses
Tungumál
English
Útgefið
2024-02-01
Prent takmörkun á líftíma
100
Prent takmörkun
2
Afritunar takmörkun
2

Kaflar

  • Cover
  • Half title
  • Title page
  • Imprints page
  • Contents
  • Boxes
  • Foreword to the First Edition
  • Preface to the Fourth Edition
  • Chapter One Introduction to International Commercial Arbitration
  • A Purpose
  • B Defining Characteristics
  • 1 Consent
  • 2 Nongovernmental Decision Makers
  • 3 A Final and Binding Award
  • C Advantages of Arbitration
  • D Disadvantages of Arbitration
  • E The Regulatory Framework
  • F Institutional Arbitration versus Ad Hoc Arbitration
  • G Arbitral Institutions
  • 1 The International Chamber of Commerce International Court of Arbitration
  • 2 The American Arbitration Association’s (AAA) International Center for Dispute Resolution
  • 3 The London Court of International Arbitration
  • 4 Hong Kong International Arbitration Center (HKIAC)
  • 5 Singapore International Arbitration Center
  • 6 Other Arbitral Institutions
  • 7 Specialized Arbitral Institutions
  • H Arbitrations Involving States
  • 1 Commercial and Treaty Arbitrations
  • 2 The Permanent Court of Arbitration (PCA)
  • I Other Dispute Resolution Methods
  • 1 Mediation
  • 2 Conciliation
  • 3 Neutral Evaluation
  • 4 Expert Determination
  • 5 Mini-Trials
  • 6 Last-Offer Arbitration (Baseball Arbitration)
  • J Conclusion
  • Chapter Two The Arbitration Agreement
  • A Function and Purpose
  • 1 Arbitration Clauses and Submission Agreements
  • 2 Separability
  • B Validity
  • 1 The Writing Requirement
  • a Recommended Interpretation of Articles II and VII
  • b Amendment to Article 7 of UNCITRAL Model Law
  • c UN Convention on Use of Electronic Communications
  • d Other Article 7 Issues
  • e Effect of the More Favorable Right Provision
  • 2 A Defined Legal Relationship
  • 3 Capable of Being Settled by Arbitration
  • 4 Null and Void, Inoperable, or Incapable of Being Performed
  • a Null and Void
  • b Inoperable
  • c Incapable of Being Performed
  • C Binding Nonsignatories
  • 1 Agency
  • 2 Equitable Estoppel
  • 3 Implied Consent
  • 4 Group of Companies
  • 5 Veil Piercing/Alter Ego
  • 6 Timing of Objections
  • D Conclusion
  • Chapter Three Drafting the Arbitration Agreement
  • A Essential Requirements
  • 1 Choice of Arbitrators
  • 2 Seat of the Arbitration
  • 3 Language of the Arbitration
  • B Additional Provisions
  • 1 International Bar Association Rules on the Taking of Evidence
  • 2 Preliminary Relief
  • 3 Technical Expertise
  • 4 Multistep Dispute Resolution Clauses
  • 5 Dispositive Motions
  • 6 Legal Fees and Costs
  • 7 Confidentiality
  • 8 Expanded Judicial Review
  • 9 Waiver of State Immunity
  • 10 Multiparty Agreements
  • C Conclusion
  • Chapter Four Applicable Laws and Rules
  • A Importance of the Law
  • B Delocalization versus Territoriality
  • 1 Arguments Favoring Delocalization
  • 2 Arguments Opposing Delocalization
  • 3 Some Modern Approaches to Delocalization
  • a Sports Arbitrations
  • b Online Arbitrations
  • C The Lex Mercatoria
  • 1 Definition of the Lex Mercatoria
  • 2 Application of the Lex Mercatoria
  • a Contracts between States
  • b Contracts between a State and a Private Company
  • D The Parties’ Choice of Law
  • 1 The Law Governing the Arbitral Proceedings
  • 2 The Rules Governing the Arbitral Proceedings
  • 3 The Law Governing the Arbitration Agreement
  • 4 The Law Governing Arbitrability
  • 5 The Law Governing the Contract
  • a National or International Law
  • b Lex Mercatoria
  • c Unrelated National Law
  • d Dépeçage
  • e Renvoi
  • f Ex Aequo et Bono and Amiable Compositeur
  • E When Parties Fail to Choose the Seat or the Governing Law
  • 1 Failure to Choose a Seat
  • 2 Failure to Choose a Governing Law
  • 3 Conflicts of Laws
  • 4 Voie Indirecte
  • 5 Voie Directe
  • F An Arbitrator’s Duty to Apply the Law
  • 1 Law or Equity
  • 2 Duty to Render an Enforceable Award
  • 3 Applying the Law
  • a The Lex Arbitri
  • b Mandatory Law
  • c Mandatory Law and Public Policy
  • G Conclusion
  • Chapter Five Judicial Assistance for Arbitration
  • A Enforcement of Arbitration Agreements
  • 1 Extent of Judicial Review
  • 2 Competence-Competence
  • B Anti-Suit Injunctions
  • 1 Anti-Suit Injunctions in the United States
  • 2 Anti-Suit Injunctions in Europe
  • C Interim Measures
  • 1 Kinds of Interim Measures
  • 2 Tribunal or Court: Where to Go for Interim Relief?
  • 3 Basis for Interim Measures
  • 4 Enforcement of Interim Measures
  • D Court Assistance in Obtaining Evidence
  • 1 Procedural Orders
  • 2 National Laws Concerning Court Assistance
  • 3 Summons Issued by US Arbitrators
  • 4 Tribunal in the United States Seeking Evidence Outside the United States
  • 5 Court Assistance in the United States to Foreign Tribunals
  • E Conclusion
  • Chapter Six The Tribunal
  • A Appointment of Arbitrators
  • 1 How Many Arbitrators?
  • 2 Qualifications
  • a Knowledge and Experience
  • b Lawyers or Nonlawyers
  • c Professors as Arbitrators
  • d Language Fluency
  • e Availability
  • f Reputation
  • g Specifications and Requirements
  • 3 Method of Selection
  • a Three Arbitrators
  • i The Rules
  • ii The Practice
  • (1) Choosing the Party-Appointed Arbitrators (Coarbitrators).
  • (2) Choosing the Presiding Arbitrator (Chair of the Tribunal).
  • b A Sole Arbitrator
  • c Ad Hoc Arbitration
  • 4 Interviewing Prospective Arbitrators
  • B Obligations of Arbitrators
  • 1 Independence and Impartiality
  • a The IBA Guidelines on Conflicts of Interest
  • i Part I: The General Standards
  • ii Part II: Practical Application of the General Standards
  • b The 1987 IBA Rules of Ethics for Arbitrators
  • c American Arbitration Association–American Bar Association Code of Ethics for Arbitrators in Commercial Disputes
  • d Duty to Investigate
  • 2 Other Obligations
  • C Challenges to the Arbitrator
  • D The Role and Power of the Arbitrator
  • E Flawed Conduct of Arbitrators
  • F Replacement of Arbitrators
  • G Arbitrator Immunity
  • H Costs and Fees
  • I Conclusion
  • Chapter Seven The Arbitral Proceedings
  • A Beginning the Arbitration
  • B Preliminary Matters
  • C Written Submissions
  • D The Hearing
  • 1 Presiding Arbitrator Can Decide Procedural Issues
  • 2 Scheduling the Hearings
  • 3 Seat of the Arbitration
  • 4 Language of the Arbitration
  • 5 Local Bar Requirements
  • 6 Closed Hearings
  • 7 Record of Proceedings
  • 8 Technology
  • 9 Time Limits per Side
  • 10 Default of Appearance
  • 11 Consolidation
  • 12 Expedited Proceedings
  • E Virtual Hearings
  • 1 Cybersecurity and Data Protection
  • 2 Technical Knowledge and Accessibility
  • 3 Witness Testimony
  • 4 Issues with Enforcement of Awards
  • 5 The Future of Virtual Hearings
  • F Presenting Evidence
  • 1 IBA Rules of Evidence
  • 2 Burden of Proof
  • 3 Documentary Evidence
  • a Hearsay Evidence
  • b Authentication
  • c Document Requests
  • d Arbitrator Discretion
  • 4 Fact Witnesses
  • a Testimony Prior to the Hearing
  • b Witness Statements
  • c Who Can Testify
  • d Meeting with Witnesses
  • e Examining Witnesses
  • f Arbitrator Intervention
  • g Availability of Witnesses
  • h Compelling Witness Testimony
  • 5 Expert Witnesses
  • G Closing the Hearing
  • H Post-Hearing Proceedings
  • I Conclusion
  • Chapter Eight The Award
  • A Difference between “Orders” and “Awards”
  • B Types of Awards
  • 1 Final Award
  • 2 Partial and Interim Awards
  • 3 Consent Award
  • 4 Default Award
  • C Validity of the Award
  • 1 Formalities
  • 2 Communication
  • 3 Time Limits
  • 4 Concurring and Dissenting Views
  • 5 Scrutiny of the Draft Award
  • 6 Finality, Clarity, and Scope
  • D Remedies and Costs
  • 1 Monetary Damages
  • 2 Interest
  • 3 Other Remedies
  • 4 Costs
  • E Res Judicata Effect of the Award
  • F Confidentiality of the Award
  • G Post-Award Proceedings
  • H Conclusion
  • Chapter Nine Attempts to Set Aside an Award
  • A Methods of Challenge
  • B Grounds of Challenge
  • 1 Jurisdictional Grounds
  • 2 Procedural Grounds
  • 3 Other Grounds
  • 4 Challenges Based on the Merits
  • C Time Limitations
  • D Effects of a Successful Challenge
  • E Conclusion
  • Chapter Ten Enforcement of the Award
  • A Application of International Conventions
  • B Principles Governing Recognition and Enforcement
  • C Requirements for Enforcement
  • 1 Scope
  • 2 Jurisdiction and Forum Non Conveniens
  • 3 Procedures for Enforcement
  • D Grounds for Nonenforcement under the Convention
  • 1 Incapacity and Invalidity
  • 2 Lack of Notice or Fairness
  • 3 Arbitrator Acting in Excess of Authority
  • 4 The Tribunal or the Procedure Is Not in Accord with the Parties’ Agreement
  • 5 The Award Is Not Yet Binding, or Has Been Set Aside
  • a A Binding Award
  • b Effect of a Vacated Award
  • c The Article V(1)(e) Loophole
  • d The Court’s Discretion to Ignore the Article V(1)(e) Loophole
  • e Enforcement of Vacated Awards
  • 6 The Last Two Defenses under Article V
  • a Subject Matter Not Arbitrable
  • b Public Policy
  • E Conclusion
  • Chapter Eleven Investor-State and State-to-State Arbitration
  • A Growth of Foreign Investment and Investor-State Arbitration
  • B Investor Protection
  • 1 The Washington (ICSID) Convention
  • a Background
  • b ICSID Jurisdictional Requirements
  • i Consent
  • ii Contracting State and National of Another Contracting State
  • iii Legal Disputes and Investments
  • c Special Features of ICSID Arbitrations
  • i Delocalization
  • ii Recognition, Enforcement, and Execution
  • iii Publication of Awards
  • d Additional Facility Rules
  • 2 Bilateral Investment Treaties
  • a Background
  • b Substantive Rights
  • c Enforcing Rights under a BIT
  • 3 Multilateral Investment Treaties
  • 4 Investor Protection Legislation
  • 5 Reform Efforts
  • C Overlap of Treaty-Based Rights and Contract-Based Rights
  • 1 The Source of the Right
  • 2 Umbrella Clauses
  • 3 Distinguishing Contract and Treaty Claims
  • 4 Coordinating Contracts with Treaties
  • D Third-Party Funding
  • E Transparency in International Investment Arbitration
  • F State-To-State Arbitration
  • G Conclusion
  • Appendices
  • Appendix A Convention on the Recognition and Enforcement of Foreign Arbitral Awards (The New York Convention) (1958)
  • Article I
  • Article II
  • Article III
  • Article IV
  • Article V
  • Article VI
  • Article VII
  • Article VIII
  • Article IX
  • Article X
  • Article XI
  • Article XII
  • Article XIII
  • Article XIV
  • Article XV
  • Article XVI
  • Appendix B UNCITRAL Model Law on International Commercial Arbitration (original 1985 version)
  • Chapter I – General Provisions
  • Article 1 – Scope of application
  • Article 2 – Definitions and rules of interpretation for the purposes of this Law:
  • Article 3 – Receipt of written communications
  • Article 4 – Waiver of right to object
  • Article 5 – Extent of court intervention
  • Article 6 – Court or other authority for certain functions of arbitration assistance and supervision
  • Chapter II – Arbitration Agreement
  • Article 7 – Definition and form of arbitration agreement
  • Article 8 – Arbitration agreement and substantive claim before court
  • Article 9 – Arbitration agreement and interim measures by court
  • Chapter III – Composition of Arbitral Tribunal
  • Article 10 – Number of arbitrators
  • Article 11 – Appointment of arbitrators
  • Article 12 – Grounds for challenge
  • Article 13 – Challenge procedure
  • Article 14 – Failure or impossibility to act
  • Article 15 – Appointment of substitute arbitrator
  • Chapter IV – Jurisdiction of Arbitral Tribunal
  • Article 16 – Competence of arbitral tribunal to rule on its jurisdiction
  • Article 17 – Power of arbitral tribunal to order interim measures
  • Chapter V – Conduct of Arbitral Proceedings
  • Article 18 – Equal treatment of parties
  • Article 19 – Determination of rules of procedure
  • Article 20 – Place of arbitration
  • Article 21 – Commencement of arbitral proceedings
  • Article 22 – Language
  • Article 23 – Statements of claim and defence
  • Article 24 – Hearings and written proceedings
  • Article 25 – Default of a party
  • Article 26 – Expert appointed by arbitral tribunal
  • Article 27 – Court assistance in taking evidence
  • Chapter VI – Making of Award and Termination of Proceedings
  • Article 28 – Rules applicable to substance of dispute
  • Article 29 – Decision-making by panel of arbitrators
  • Article 30 – Settlement
  • Article 31 – Form and contents of award
  • Article 32 – Termination of proceedings
  • Article 33 – Correction of interpretation of award; additional award
  • Chapter VII – Recourse against Award
  • Chapter VIII – Recognition and Enforcement of Awards
  • Article 35 – Recognition and enforcement
  • Article 36 – Grounds for refusing recognition or enforcement
  • Appendix C Revised Articles of the UNCITRAL Model Law on International Commercial Arbitration (2006)
  • [Article 1, paragraph 2]
  • Article 2 A. International origin and general principles
  • Option I
  • Article 7. Definition and form of arbitration agreement
  • Option II
  • Article 7. Definition of arbitration agreement
  • CHAPTER IV A. Interim Measures And Preliminary Orders
  • Section 1. Interim measures
  • Article 17. Power of arbitral tribunal to order interim measures
  • Article 17 A. Conditions for granting interim measures
  • Section 2. Preliminary orders
  • Article 17 B. Applications for preliminary orders and conditions for granting preliminary orders
  • Article 17 C. Specific regime for preliminary orders
  • Section 3. Provisions applicable to interim measures and preliminary orders
  • Article 17 D. Modification, suspension, termination
  • Article 17 E. Provision of security
  • Article 17 F. Disclosure
  • Article 17 G. Costs and damages
  • Section 4. Recognition and Enforcement of Interim Measures
  • Article 17 H. Recognition and enforcement
  • Article 17 I. Grounds for refusing recognition or enforcement
  • Section 5. Court-ordered interim measures
  • Article 17 J. Court-ordered interim measures
  • [Article 35, paragraph 2]
  • Appendix D UNCITRAL Recommendation Regarding the Interpretation of Article II, Paragraph 2, and Article VII, Paragraph 1, of the New York Convention
  • Annex II
  • Appendix E IBA Rules on the Taking of Evidence in International Arbitration
  • Contents
  • About the Arbitration Committee
  • Foreword
  • The Rules
  • Definitions
  • Members of the original Working Party (drafters of 1999 Rules)
  • Members of the IBA Rules of Evidence Review Subcommittee (2010 revision)
  • Members of the Review Task Force (2020 revision)
  • Appendix F IBA Rules of Ethics for International Arbitrators 1987
  • Introductory Note
  • Rules of Ethics for International Arbitrators
  • Article 1 Fundamental Rule
  • Article 2 Acceptance of Appointment
  • Article 3 Elements of Bias
  • Article 4 Duty of Disclosure
  • Article 5 Communications with Parties
  • Article 6 Fees
  • Article 7 Duty of Diligence
  • Article 8 Involvement in Settlement Proposals
  • Article 9 Confidentiality of the Deliberations
  • Appendix G IBA Guidelines on Conflicts of Interest in International Arbitration
  • Contents
  • IBA Guidelines on Conflicts of Interest in International Arbitration 2014
  • Introduction
  • Part I: General Standards Regarding Impartiality, Independence and Disclosure
  • Part II: Practical Application of the General Standards
  • Appendix H The AAA–ABA Code of Ethics for Arbitrators in Commercial Disputes
  • Preamble
  • Note on Neutrality
  • Canon I: An Arbitrator Should Uphold the Integrity and Fairness of the Arbitration Process
  • Comment to Canon I
  • Canon II: An Arbitrator Should Disclose Any Interest or Relationship Likely to Affect Impartiality or Which Might Create an Appearance of Partiality
  • Canon III: An Arbitrator Should Avoid Impropriety or the Appearance of Impropriety in Communicating with Parties
  • Canon IV: An Arbitrator Should Conduct the Proceedings Fairly and Diligently
  • Comment to paragraph G
  • Canon V: An Arbitrator Should Make Decisions in a Just, Independent and Deliberate Manner
  • Canon VI: An Arbitrator Should Be Faithful to the Relationship of Trust and Confidentiality Inherent in that Office
  • Canon VII: An Arbitrator Should Adhere to Standards of Integrity and Fairness When Making Arrangements for Compensation and Reimbursement of Expenses
  • Canon VIII: An Arbitrator May Engage in Advertising or Promotion of Arbitral Services Which Is Truthful and Accurate
  • Comment to Canon VIII
  • Canon IX: Arbitrators Appointed by One Party Have a Duty to Determine and Disclose Their Status and to Comply with This Code, except as Exempted by Canon X
  • Canon X: Exemptions for Arbitrators Appointed by One Party Who are Not Subject to Rules of Neutrality
  • Appendix I IBA Guidelines on Party Representation in International Arbitration
  • Contents
  • Members of the Task Force
  • About the IBA Arbitration Committee
  • The Guidelines
  • Preamble
  • Definitions
  • Application of Guidelines
  • Comments to Guidelines 1–3
  • Party Representation
  • Comments to Guidelines 4–6
  • Communications with Arbitrators
  • Comments to Guidelines 7–8
  • Submissions to the Arbitral Tribunal
  • Comments to Guidelines 9–11
  • Information Exchange and Disclosure
  • Comments to Guidelines 12–17
  • Witnesses and Experts
  • Comments to Guidelines 18–25
  • Remedies for Misconduct
  • Comments to Guidelines 26–27
  • Appendix J Model Clauses
  • ICC (International Chamber of Commerce)
  • LCIA (London Court of International Arbitration)
  • Future Disputes
  • Existing Disputes
  • ICDR (International Centre for Dispute Resolution of the American Arbitration Association)
  • UNCITRAL (United Nations Commission on International Trade Law)
  • SCC (Arbitration Institute of the Stockholm Chamber of Commerce)
  • CIETAC (China International Economic and Trade Arbitration Commission)
  • HKIAC (Hong Kong International Arbitration Centre)
  • Note:
  • (DIS) German Institution of Arbitration (Deutsche Institution Für Schiedsgerichtsbarkeit E.V.)
  • Index