The principles and practice of international commercial arbitration / Margaret L. Moses.

Format:

Book

Author/Creator:

Moses, Margaret L., author.

Language:

English

Subjects (All):

International commercial arbitration.

Physical Description:

1 online resource (xviii, 340 pages) : digital, PDF file(s)

Other Title:

The Principles & Practice of International Commercial Arbitration

Place of Publication:

Cambridge : Cambridge University Press, 2008.

System Details:

text file

PDF

Summary:

This title provides the reader with immediate access to understanding the world of international arbitration. Arbitration has become the dispute resolution method of choice in international transactions. This book explains how and why arbitration works. It provides the legal and regulatory framework for international arbitration, as well as practical strategies to follow and pitfalls to avoid. It is short and readable, but comprehensive in its coverage of the basic requirements, including changes in arbitration laws, rules, and guidelines. In the book, the author includes insights from numerous international arbitrators and counsel, who tell firsthand about their own experiences of arbitration and their views of the best arbitration practices. Throughout the book, the principles of arbitration are supported and explained by the practice, providing a concrete approach to an important means of resolving disputes.

Contents:

1 Introduction to International Commercial Arbitration 1

A Purpose 1

B Defining Characteristics 2

1 Consent 2

2 Non-Governmental Decision-Makers 2

3 A Final and Binding Award 2

C Advantages of Arbitration 3

D Disadvantages of Arbitration 4

E The Regulatory Framework 5

F Institutional Arbitration v. Ad Hoc Arbitration 9

G Arbitral Institutions 10

1 The International Chamber of Commerce (ICC) International Court of Arbitration 10

2 The American Arbitration Association's (AAA) International Center for Dispute Resolution (ICDR) 11

3 The London Court of International Arbitration (LCIA) 11

4 Other Arbitral Institutions 12

H Arbitrations Involving States 12

1 ICSID Arbitrations 12

2 The Permanent Court of Arbitration 13

I Other Dispute Resolution Methods 13

1 Mediation 13

2 Conciliation 14

3 Neutral Evaluation 14

4 Expert Determination 14

5 Mini-Trials 15

6 Last Offer Arbitration (Baseball Arbitration) 15

2 The Arbitration Agreement 17

A Function and Purpose 17

1 Arbitration Clauses and Submission Agreements 17

2 Separability 18

B Validity 18

1 The Writing Requirement 20

a Recommended Interpretation of Articles II and VII 23

b Amendment to Article 7 of UNCITRAL Model Law 24

c U.N. Convention on Use of Electronic Communications 27

d Other Article 7 Issues 28

e Effect of the More Favorable Right Provision 28

2 A Defined Legal Relationship 30

3 Capable of Being Settled by Arbitration 31

4 Null and Void, Inoperable or Incapable of Being Performed 31

a Null and Void 32

b Inoperable 32

c Incapable of Being Performed 32

C Binding Nonsignatories 33

1 Group of Companies 34

2 Equitable Estoppel 35

3 Veil Piercing/Alter Ego 36

3 Drafting the Arbitration Agreement 39

A Essential Requirements 40

1 Choice of Arbitrators 42

2 Place of Arbitration 43

3 Language of the Arbitration 43

4 Substantive Law 44

B Additional Provisions 44

1 International Bar Association Rules on Taking Evidence 44

2 Preliminary Relief 45

3 Technical Expertise 46

4 MultiStep Dispute Resolution Clauses 46

5 Dispositive Motions 47

6 Legal Fees and Costs 48

7 Confidentiality 49

8 Expanded Judicial Review 50

9 Waiver of State Immunity 51

10 Multiparty Agreements 52

4 Applicable Laws and Rules 55

A Importance of the Law 55

B Delocalization v. Territoriality 56

1 Arguments Favoring Delocalization 56

2 Arguments Opposing Delocalization 57

3 Some Modern Approaches to Delocalization 57

a Sports Arbitrations 58

b Online Arbitrations 58

C The Lex Mercatoria 60

1 Definition of the Lex Mercatoria 60

2 Application of the Lex Mercatoria 62

a Contracts between States 62

b Contracts between a State and a Private Company 63

D The Parties' Choice of Law 63

1 The Law Governing the Arbitral Proceedings 64

2 The Rules Governing the Arbitral Proceedings 65

3 The Law Governing the Arbitration Agreement 65

4 The Law Governing Arbitrability 68

5 The Law Governing the Contract 69

a National or International Law 69

b Lex Mercatoria 70

c Unrelated National Law 70

d Depecage 72

e Renvoi 73

f Ex Aequo et Bono and Amiable Compositeur 74

E When Parties Fail to Choose the Seat or the Governing Law 75

1 Failure to Choose the Seat 75

2 Failure to Choose a Governing Law 76

3 Conflicts of Law 76

4 Voie Indirecte 77

5 Voie Directe 77

F An Arbitrator's Duty to Apply the Law 78

1 Law or Equity 78

2 Duty to Render an Enforceable Award 79

3 Applying the Law 80

a The Lex Arbitri 80

b Mandatory Law 80

c Mandatory Law and Public Policy 81

5 Judicial Assistance for Arbitration 84

A Enforcement of Arbitration Agreements 85

1 Extent of Judicial Review 85

2 Competence-Competence 88

B Anti-Suit Injunctions 92

1 Anti-Suit Injunctions in the United States 93

2 Anti-Suit Injunctions in Europe 97

C Interim Measures 100

1 Kinds of Interim Measures 100

2 Tribunal or Court - Where to Go for Interim Relief 102

3 Basis for Interim Measures 105

4 Enforcement of Interim Measures 106

D Court Assistance in Obtaining Evidence 107

1 Procedural Orders 107

2 National Laws Concerning Court Assistance 108

3 Summons Issued by U.S. Arbitrators 109

4 Tribunal in the United States Seeking Evidence Outside the United States 112

5 Court Assistance in the United States to Foreign Tribunals 113

6 The Tribunal 116

A Appointment of Arbitrators 116

1 How Many Arbitrators? 117

2 Qualifications 117

a Knowledge and Experience 117

b Lawyers or Nonlawyers 118

c Professors as Arbitrators 118

d Language Fluency 119

e Availability 119

f Reputation 120

g Specifications and Requirements 120

3 Method of Selection 120

a Three Arbitrators 121

i The Rules 121

ii The Practice 122

(1) Choosing the Party-Appointed Arbitrators (Coarbitrators) 122

(2) Choosing the Presiding Arbitrator (The Chair of the Tribunal) 124

b A Sole Arbitrator 127

c Ad Hoc Arbitration 127

4 Interviewing Prospective Arbitrators 128

B Obligations of Arbitrators 130

1 Independence and Impartiality 130

a The IBA Guidelines on Conflicts of Interest 131

i Part I: The General Standards 131

ii Part II: Practical Application of the General Standards 133

b The 1987 IBA Rules of Ethics for Arbitrators 136

c American Arbitration Association (AAA)-American Bar Association (ABA) Code of Ethics for Arbitrators in Commercial Disputes 137

2 Other Obligations 138

C Challenges to the Arbitrator 140

D Flawed Conduct of Arbitrators 145

E Replacement of Arbitrators 146

F Arbitrator Immunity 147

G Costs and Fees 148

7 The Arbitral Proceedings 150

A Beginning the Arbitration 151

B Preliminary Matters 153

C Written Submissions 159

D The Hearing 160

1 Chair Can Decide Procedural Issues 160

2 Scheduling the Hearings 160

3 Place of the Hearing 161

4 Language of the Hearing 161

5 Local Bar Requirements 162

6 Closed Hearings 162

7 Record of Proceedings 162

8 Technology 162

9 Time Limits per Side 163

10 Default of Appearance 163

11 Expedited Proceedings 164

E Presenting Evidence 164

1 IBA Rules of Evidence 165

2 Burden of Proof 165

3 Documentary Evidence 167

a Hearsay Evidence 167

b Authentication 167

c Document Requests 168

d Arbitrator Discretion 169

4 Fact Witnesses 170

a Testimony Prior to the Hearing 170

b Witness Statements 170

c Who Can Testify 171

d Meeting with Witnesses 171

e Examining Witnesses 172

f Arbitrator Intervention 174

g Availability of Witnesses 175

h Compelling Witness Testimony 175

5 Expert Witnesses 175

F Post-Hearing Proceedings 178

8 The Award 179

A Difference in "Orders" and "Awards" 179

B Types of Awards 180

1 Final Award 180

2 Partial and Interim Awards 181

3 Consent Award 183

4 Default Award 183

C Validity of the Award 184

1 Formalities 184

2 Communication 184

3 Time-Limits 185

4 Concurring and Dissenting Views 185

5 Scrutiny of the Draft Award 185

6 Finality, Clarity, Scope 186

D Remedies and Costs 186

1 Monetary Damages 186

2 Interest 186

3 Other Remedies 187

4 Costs 187

E Res Judicata Effect of the Award 188

F Confidentiality of the Award 189

G Post-Award Proceedings 191

9 Attempts to Set Aside an Award 193

A Methods of Challenge 193

B Grounds of Challenge 194

1 Jurisdictional Challenges 195

2 Procedural Challenges 195

3 Challenges Based on the Merits 196

C Time Limitations 199

D Effects of a Successful Challenge 199

10 Enforcement of the Award 202

A Application of International Conventions 202

B Principles Governing Recognition and Enforcement 203

C Requirements for Enforcement 204

2 Jurisdiction and Forum Non Conveniens 205

3 Procedures for Enforcement 207

D Grounds for Nonenforcement under the Convention 208

1 Incapacity and Invalidity 208

2 Lack of Notice or Fairness 211

3 Arbitrator Acting in Excess of Authority 211

4 The Tribunal or the Procedure Is Not in Accord with the Parties' Agreement 212

5 The Award Is Not Yet Binding, or Has Been Set Aside 212

a A Binding Award 212

b Effect of a Vacated Award 213

c The Article V(1)(e) Loophole 214

d The Court's Discretion to Ignore the Article V(1)(e) Loophole 214

e Deference to Local Law under Article VII 214

f Enforcement of Vacated Awards 214

6 The Last Two Defenses under Article V 216

a Subject Matter Not Arbitrable 216

b Public Policy 218

11 Investment Arbitration 220

A Growth of Foreign Investment and Investment Arbitration 220

B Investor Protection 221

1 The Washington (ICSID) Convention 221

b ICSID Jurisdictional Requirements 222

i Consent 222

ii Contracting State or National of Another Contracting State 223

iii Legal Disputes and Investments 225

c Special Features of ICSID Arbitrations 225

i Delocalization 225

ii Recognition, Enforcement, and Execution 226

iii Publication of Awards 228

d Additional Facility Rules 228

2 Bilateral Investment Treaties (BITs) 229

b Substantive Rights 229

c Enforcing Rights under a BIT 231

3 Multilateral Investment Treaties 231

4 Investor Protection Legislation 232

C Overlap of Treaty-Based Rights and Contract-Based Rights 233

1 The Source of the Right 233

2 Umbrella Clauses 234

3 Distinguishing Contract and Treaty Claims 236

4 Coordinating Contracts with Treaties 239

A The United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards (The New York Convention) (1958) 241

B UNCITRAL Model Law on International Commercial Arbitration (original 1985 version) 247

C Annex I: Revised Articles of the UNCITRAL Model Law on International Commercial Arbitration (2006) 261

D Annex II: UNCITRAL Recommendation Regarding the Interpretation of Article II, Paragraph 2, and Article VII, Paragraph 1, of the New York Convention 267

E IBA Rules on Taking Evidence in International Commercial Arbitration 270

F IBA Rules of Ethics for International Arbitrators (1987) 281

G IBA Guidelines on Conflicts of Interests in International Arbitration 287

H The AAA-ABA Code of Ethics for Arbitrators in Commercial Disputes 306

I Model Clauses 320

J Useful Arbitration Websites 323.

Notes:

Title from publisher's bibliographic system (viewed on 05 Oct 2015).

Other Format:

Print version:

ISBN:

9780511819216

Access Restriction:

Restricted for use by site license.