International Intellectual Property Arbitration

Name: International Intellectual Property Arbitration
Brand: Kluwer Law International
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Trevor Cook I. Alejandro Garcia(Author)

Kluwer Law International (Publisher)

Published on 28. October 2010

496 pages

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978-90-411-5537-5 (ISBN)

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Content

Cover
Half Title Page
Editorial Board
Title Page
Copyright Page
Table of Contents
List of Abbreviations
Preface
Chapter 1 Introduction
1. THE STRUCTURE AND SCOPE OF THIS BOOK
2. AREAS OF IP DISPUTE RESOLUTION NOT ADDRESSED BY THIS BOOK
2.1. DOMAIN NAME DISPUTES
2.2. EXPERT DETERMINATION
2.3. IIA DISPUTES
Chapter 2 Intellectual Property, Agreements Relating to It and Disputes that Arise as to It or under Such Agreements
1. INTRODUCTION
1.1. WHAT IS INTELLECTUAL PROPERTY?
1.2. REGISTERED IPRS
1.3. INTERNATIONAL ASPECTS OF IP
1.4. AGREEMENTS RELATING TO IPRS
2. SPECIFIC TYPES OF IP AND SOME DISPUTES ENCOUNTERED OVER THEM
2.1. PATENTS
2.1.1. Introduction
2.1.2. Disputes under Patent Licenses
2.2. COPYRIGHT AND RELATED RIGHTS
2.3. TRADEMARKS
2.4. DESIGNS
2.5. CONFIDENTIAL INFORMATION
Chapter 3 Benefits and Limitations of International Arbitration for IP Disputes
1. INTRODUCTION
2. MAIN FEATURES OF INTERNATIONAL ARBITRATION
2.1. ARBITRAL AWARDS ARE READILY ENFORCEABLE IN MOST COUNTRIES OF THE WORLD
2.2. INTERNATIONAL ARBITRATION AND PARTY AUTONOMY
2.2.1. Party Autonomy and Neutral Proceedings
2.2.2. Autonomy to Choose Decision-Makers
2.2.3. Procedural Flexibility
2.2.3.1. Conduct of the Proceedings
2.3.3.2. Possibility to Design Special Mechanisms for Dispute Resolution
2.2.3.3. Incentive for Settlements
2.2.4. Due to Its Contractual Nature Arbitration Lacks Some Features of Litigation
2.2.4.1. Arbitrators Lack Imperium
2.2.4.2. Lack of Powers upon Third Parties
2.3.4.3. Arbitral Awards Do Not Have Precedential Value and Inter Partes Effects of Arbitration
2.2.5. Some Possible Concerns Arising Out of the Contractual Nature of International Arbitration
2.2.5.1. Concerns Due to the Lack of a Detailed Procedural Framework
2.2.5.2. Arbitrators 'Split the Baby'
2.3. INTERNATIONAL ARBITRAL AWARDS ARE FINAL
2.4. ARBITRATION MAY BE CHEAPER AND FASTER THAN LITIGATION
2.4.1. Length of Arbitral Proceedings
2.4.2. Costs
2.4.3. Multi-jurisdictional IP Cases
2.5. CONFIDENTIALITY
3. ARBITRATION OR LITIGATION OF IP DISPUTES?
Chapter 4 Arbitrability of IP Disputes
1. THE ISSUE OF ARBITRABILITY OF IP DISPUTES
1.1. INTRODUCTION
1.2. WHY ARBITRATING IP DISPUTES MAY BE AN ISSUE?
1.3. INCIDENCE AND SCOPE OF INARBITRABILITY ISSUES IN RELATION TO IP DISPUTES
2. RESOLVING ISSUES OF ARBITRABILITY IN INTERNATIONAL IP DISPUTES
2.1. INARBITRABILITY OBJECTIONS RAISED BEFORE THE ARBITRAL TRIBUNAL
2.1.1. Inarbitrability and Jurisdiction
2.1.2. Applicable Law
2.1.3. Law of the Countries Where the IP in Issue Subsists
2.1.4. Application of Laws of Countries of Registration of IPR as Foreign Public Policy Rules
2.1.5. Resolution of Issues of Arbitrability
2.2. INARBITRABILITY OBJECTIONS BEFORE NATIONAL COURTS IN PARALLEL PROCEEDINGS
2.3. INARBITRABILITY IN THE CONTEXT OF A SETTING ASIDE ACTION
2.4. INARBITRABILITY IN THE CONTEXT OF CHALLENGES TO RECOGNITION AND ENFORCEMENT OF AWARDS
2.4.1. A Fourth Bite of the Apple?
2.4.2. Invalidity Effects of the Award
2.4.2.1. Awards that Fully Accept 'Invalidity'
2.4.2.2. Awards that Completely Reject 'Invalidity' Allegations
2.4.2.3. Awards that Partially 'Invalidate' Asserted IP
2.4.3. Law Applicable by the Court of the Place of Recognition and Enforcement
2.5. DEALING WITH PUBLIC POLICY ARGUMENTS IF THE APPLICABLE LAW DOES NOT PROVIDE FOR A SPECIFIC SOLUTION ON ARBITRABILITY
3. THE PUBLIC POLICY DEBATE
3.1. POTENTIAL PUBLIC POLICY ARGUMENTS IN SUPPORT OF INARBITRABILITY
3.1.1. State Involvement in the Creation of IPR
3.1.2. IP Creates Monopolies or Rights of Exclusivity
3.1.3. Protection of the Interests Behind the Grant of Monopolies
3.1.4. Existence of Bodies that Have Specific Jurisdiction on Validity Issues
3.2. TWO KEYS TO REBUT PUBLIC POLICY ARGUMENTS AGAINST ARBITRABILITY OF IPR
3.2.1. Insufficiency of Pure Public Policy Arguments
3.2.2. Public Policy Arguments in the Light of the Inter Partes Effect of Arbitration
3.2.2.1. State Involvement and Sovereign Acts Arguments
3.2.2.2. Monopolies and Underlying Policy Interest Rationales
3.2.2.3. Exclusive Jurisdiction of Certain Bodies Argument
3.2.3. International Public Policy and Restrictive Application of Public Policy
Chapter 5 Legal and Regulatory Framework of an IP Arbitration
1. INTRODUCTION
2. REGULATORY FRAMEWORK OF THE ARBITRATION ITSELF
2.1. AGREEMENT OF THE PARTIES, INSTITUTIONAL RULES AND LEX ARBITRI
2.2. SEAT AND THE LEX ARBITRI
2.2.1. Two Interrelated Issues
2.2.2. Evolution of Seat as Choice of Lex Arbitri
2.2.3. Choosing 'Foreign' Law to Govern the Conduct of an Arbitration
2.3. ABSENCE OF CHOICE OF SEAT BY THE PARTIES
3. REGULATORY FRAMEWORK IN RELATION TO SUBSTANTIVE ISSUES
3.1. IMPORTANCE OF THE REGULATORY FRAMEWORK AND DIFFERENT ISSUES
3.2. THE LAW APPLICABLE TO ISSUES ARISING FROM THE UNDERLYING CONTRACT
3.2.1. Introduction
3.2.2. The Applicable Law Where Parties Have Concluded a Choice of Law Agreement
3.2.2.1. Party Autonomy
3.2.2.2. Limitations to Party Autonomy: Mandatory Rules
3.2.2.3. Pragmatic Approach to Non-contractual IP Issues in International Arbitration
3.2.2.4. Potential Choices of Substantive Law
3.2.2.4.1. National Law
3.2.2.4.2. Non-national Law: 'Rules of Law'
3.2.3. Law Applicable to the Substance of the Dispute in the Absence of Agreement
3.2.3.1. Stance of National Law on Choice of Law for Substantive Issues
3.2.3.1.1. General Regime of Choice of Law Rules of the Seat
3.2.3.1.2. Specialized Methods Provided by the Law of the Seat
3.2.3.1.3. Application of Choice of Law System that the Arbitral Tribunal Considers Appropriate
3.2.3.1.4. Direct Application of Substantive Law that the Arbitral Tribunal Considers Appropriate
3.2.3.2. Institutional Rules
4. LAW APPLICABLE TO THE AGREEMENT TO ARBITRATE
4.1. DIFFERENT APPLICABLE LAWS
4.2. LAW APPLICABLE TO ISSUES OF EXISTENCE AND VALIDITY OF AN ARBITRATION CLAUSE
4.2.1. Existence of a Specific Choice of Law Agreement
4.2.2. Absence of a Specific Choice of Law Agreement
4.2.2.1. The Law of the Underlying Contract
4.2.2.2. The Law of the Seat
4.2.2.3. Closest Connection
4.2.2.4. Direct Application of Principles of International Law
4.3. VALIDATION PRINCIPLE
Chapter 6 Arbitration Agreements
1. INTRODUCTION
2. FRAMEWORK OF INTERNATIONAL ARBITRATION AGREEMENTS
2.1. INTRODUCTION
2.2. ARBITRATION AGREEMENTS UNDER THE NEW YORK CONVENTION
2.2.1. Agreement in Writing, Signature and Exchange of Letters
2.2.2. Existing or Future Disputes
2.2.3. Defined Legal Relationship
2.2.4. Arbitrability
2.3. ARBITRATION AGREEMENTS UNDER NATIONAL LAW
2.3.1. Capacity
2.3.2. Formation of Arbitration Agreements
2.3.3. Formal Validity
2.3.4. Substantive Validity of Arbitration Agreements
2.3.5. Arbitrability
2.3.6. Parties to Arbitration Agreements
2.3.6.1. Group of Companies Doctrine
2.3.6.2. Alter Ego Doctrine
2.3.6.3. Equity and Good Faith Issues
2.3.6.4. Assignments
2.4. THE SEPARABILITY DOCTRINE
3. ARBITRATION AGREEMENTS: CHOOSING AND DRAFTING
3.1. INTRODUCTION
3.2. WHAT KIND OF CLAUSE?
3.3. AD HOC OR INSTITUTIONAL ARBITRATION?
3.3.1. Ad Hoc Arbitration
3.3.2. Institutional Arbitration
3.4. SCOPE OF ARBITRATION CLAUSE
3.5. CHOOSING THE SEAT OR PLACE OF ARBITRATION
3.6. CHOOSING THE APPLICABLE SUBSTANTIVE LAW
3.7. ARBITRATOR ISSUES
3.7.1. Choosing a Number of Arbitrators
3.7.2. Arbitrator Designated in the Arbitration Clause and Requirements
3.8. LANGUAGE
3.9. COMBINATION OF PROCEDURES
3.10. STREAMLINING INSTITUTIONAL RULES
3.11. MULTIPARTY ISSUES
3.12. SPECIFIC ISSUES IN RELATION TO ARBITRATION CLAUSES FOR IP DISPUTES
3.12.1. Confidentiality
3.12.2. Arbitrability
3.12.3. Appeal Mechanisms
3.12.4. Standby Arbitral Tribunals
Chapter 7 The Arbitral Tribunal
1. ESTABLISHMENT OF THE ARBITRAL TRIBUNAL
1.1. ONE OF THE MOST IMPORTANT STAGES IN ARBITRATION
1.2. NUMBER OF ARBITRATORS
1.3. ONE OR THREE ARBITRATORS?
1.4. METHODS OF APPOINTMENT
1.4.1. Appointment of Sole and Presiding Arbitrators
1.4.1.1. Appointment by the Parties
1.4.1.2. Appointment in Institutional Arbitrations
1.4.1.3. Appointing Authority
1.4.1.4. Appointment by Co-arbitrators
1.4.1.5. Appointment by National Courts
1.4.2. Selection of Party-Appointed Arbitrators
1.4.3. Nomination of Party-Appointed Arbitrators in Multiparty Arbitrations
2. WHO CAN BE AN ARBITRATOR?
2.1. NATURAL PERSON
2.2. CAPACITY
2.3. LEGAL QUALIFICATION
2.4. NATIONALITY
2.5. LACK OF BIAS
2.6. REQUIREMENTS AGREED BY THE PARTIES
3. INDEPENDENCE AND IMPARTIALITY OF ARBITRATORS
3.1. A FUNDAMENTAL PRINCIPLE OF INTERNATIONAL ARBITRATION
3.2. INDEPENDENCE AND/OR IMPARTIALITY?
3.3. STANDARD OF PROOF TO DISQUALIFY ARBITRATORS
3.4. DISCLOSURE OBLIGATIONS
3.4.1. Prior to Appointment
3.4.2. Disclosure Obligation during the Conduct of the Proceedings
4. CHALLENGES TO ARBITRATORS
4.1. PROCEDURE
4.1.1. Pre-challenge Disclosures and Objections
4.1.2. Resolution of Challenges
4.1.2.1. Challenges under Institutional Rules
4.1.2.2. Challenges under National Legislation
4.1.3. Effect of a Successful Challenge
5. REMOVAL OF ARBITRATORS
6. REPLACEMENT OF ARBITRATORS
6.1. PROCEDURE
6.2. CONSEQUENCES OF APPOINTMENT OF REPLACEMENT ARBITRATORS
7. TRUNCATED TRIBUNALS
8. ARBITRATORS' REMUNERATION AND EXPENSES OF THE TRIBUNAL
8.1. ARBITRATORS' RIGHT TO REMUNERATION
8.2. CANCELLATION FEES
8.3. EXPENSES OF THE ARBITRAL TRIBUNAL
8.4. DEPOSITS
9. OBLIGATIONS OF ARBITRATORS
10. ARBITRATORS LIABILITY AND IMMUNITY
11. JURISDICTION OF THE ARBITRAL TRIBUNAL AND THE COMPETENCE-COMPETENCE DOCTRINE
11.1. INTRODUCTION
11.2. THE COMPETENCE-COMPETENCE DOCTRINE
11.3. RESOLUTION OF JURISDICTIONAL CHALLENGES BY ARBITRAL TRIBUNALS
Chapter 8 Organization and Conduct of Arbitral Proceedings and the Taking of Evidence
1. INTRODUCTION
2. ORGANIZATION OF THE PROCEEDINGS IN GENERAL
2.1. INTRODUCTION
2.2. TIMELINE AND STRUCTURE OF THE PROCEEDINGS
2.3. BIFURCATION OF THE PROCEEDINGS
2.4. ORGANIZATION OF WRITTEN SUBMISSIONS
2.4.1. Number and Sequence of Submissions
2.4.2. Evidence in Support of Written Submissions
2.4.3. Amendment of a Party's Case
2.5. ORGANIZATION OF PRODUCTION OF EVIDENCE
2.5.1. Documentary Evidence and Disclosure
2.5.1.1. Time and Form of Evidence
2.5.1.2. Document Disclosure
2.5.2. Witness Evidence
2.5.3. Expert Evidence
2.6. DETERMINATION OF LANGUAGE OF THE PROCEEDINGS
2.7. CONFIDENTIALITY
2.8. PARTIAL DECISIONS IN RELATION TO THE SCOPE AND CONSTRUCTION OF ASSERTED IPR
2.9. CREATION OF STANDBY ARBITRAL TRIBUNALS
2.10. AWARDS ON COSTS
2.11. DEPOSITS AND ADVANCE PAYMENTS
2.12. APPOINTMENT OF A SECRETARY TO THE TRIBUNAL
2.13. OTHER POTENTIAL ISSUES RELATING TO THE ORGANIZATION OF THE PROCEEDINGS IN GENERAL
3. ORGANIZATION OF THE EVIDENTIARY HEARING
3.1. OPENING AND CLOSING STATEMENTS
3.2. SITTING HOURS AND TIME ALLOCATION FOR THE HEARING
3.3. SETS OF DOCUMENTS FOR THE HEARING
3.4. RECORD OF CONTENTS OF THE HEARING
3.5. EXAMINATION OF FACT WITNESSES AND EXPERTS
3.6. OBJECTIONS TO QUESTIONS
3.7. PRESENCE OF WITNESSES OR EXPERTS DURING EXAMINATION OF OTHER WITNESSES OR EXPERTS
3.8. WHETHER WITNESSES AND EXPERTS CAN BE EXAMINED BY VIDEO-LINK
3.9. WHETHER THE WITNESSES AND EXPERTS WILL BE EXAMINED ON OATH OR AFFIRMATION
3.10. USE OF DOCUMENTS FOR CROSS-EXAMINATION
3.11. INTERPRETERS
3.12. VENUE FOR THE HEARING
3.13. TRIBUNAL'S CANCELLATION POLICY
3.14. ISSUANCE OF PROCEDURAL ORDER SETTING OUT THE TIMELINE FOR THE PROCEEDINGS
4. COST-CONTROLLING MEASURES
5. THE CONDUCT OF THE PROCEEDINGS AND THE TAKING OF EVIDENCE
5.1. INTRODUCTION
5.2. THE CONDUCT OF THE PROCEEDINGS ACCORDING TO PREVAILING INTERNATIONAL ARBITRATION PRACTICE
5.2.1. Different Stages
5.2.2. Commencement of Proceedings
5.2.2.1. The Request for Arbitration
5.2.2.2. Answer to the Request for Arbitration
5.2.2.3. Determination of the Seat of the Proceedings
5.2.3. Establishment of the Arbitral Tribunal
5.2.4. Case Management Meeting, Procedural Order, and Terms of Reference
5.2.5. Parties' Submissions
5.2.5.1. Written Submissions
5.2.5.1.1. Pre-hearing Submissions
5.2.5.1.2. Post-hearing Submissions
5.2.5.2. Oral Submissions
5.2.6. The Taking of Evidence
5.2.6.1. Introduction
5.2.6.2. Burden and Standard of Proof
5.2.6.3. Admissibility and Probative Value
5.2.6.4. Documentary Evidence
5.2.6.4.1. 'Document' Defined
5.2.6.4.2. Document Disclosure or Discovery
5.2.6.4.3. Privilege
5.2.6.4.4. Redfern Schedules
5.2.6.5. Witnesses
5.2.6.5.1. Who Can Be a Witness?
5.2.6.5.2. Form and Examination of Witnesses
5.2.6.6. Experts
5.2.6.6.1. Introduction
5.2.6.6.2. Party-Appointed Experts and Experts Appointed by the Tribunal
5.2.6.6.3. Expert Tutorials for Arbitrators
5.2.6.7. Agreed Primers, Models and Demonstrative Evidence
5.2.6.8. Inspections and Site Visits
5.2.6.9. Experiments
5.2.6.10. Other Means of Presenting Evidence Particular to IP Disputes
5.2.7. The Evidentiary Hearing
5.2.8. Closing of the Proceedings
5.2.9. The Award(s)
5.2.10. Post-termination Issues
6. DEFAULT PROCEEDINGS
7. FAST-TRACK ARBITRATIONS
8. ASSORTED ISSUES ASSOCIATED TO THE CONDUCT OF THE PROCEEDINGS
8.1. REPRESENTATION
8.2. CONSOLIDATION OF PARALLEL ARBITRATIONS, JOINDER AND THIRD-PARTY INTERVENTION
9. INTERIM RELIEF
9.1. INTRODUCTION
9.2. INTERIM MEASURES ORDERED BY ARBITRAL TRIBUNALS
9.2.1. Normative Framework
9.2.2. Different Measures that Tribunals May Grant
9.2.2.1. Measures Aiming to Maintain the Status Quo or Prevent Harm
9.2.2.2. Orders Seeking to Ensure the Enforceability of the Award
9.2.2.3. Preservation or Inspection of Property
9.2.2.4. Security for Costs
9.2.2.5. Interim Payments
9.2.3. Prerequisites to Order Interim Measures
9.2.4. Form of a Decision on Interim Relief
9.2.5. Enforcement of Interim Measures
9.3. INTERIM MEASURES ORDERED BY NATIONAL COURTS IN SUPPORT OF ARBITRATION
Chapter 9 Confidentiality of Arbitral Proceedings
1. INTRODUCTION
2. CONFIDENTIAL ARBITRATIONS: PROTECTION AGAINST DISCLOSURES TO THIRD PARTIES
2.1. ONLY CERTAIN ARBITRATIONS ARE BOTH PRIVATE AND CONFIDENTIAL
2.2. EXPRESS AGREEMENT OF THE PARTIES PROVIDING FOR CONFIDENTIALITY
2.3. CONFIDENTIALITY UNDER INSTITUTIONAL RULES
2.3.1. Arbitration Rules Providing for Comprehensive Confidentiality Obligations
2.3.1.1. CIETAC Arbitration Rules
2.3.1.2. German Institution of Arbitration (DIS)
2.3.1.3. HKIAC Administered Arbitration Rules
2.3.1.4. LCIA Rules
2.3.1.5. Rules of Arbitration of the Swiss Chambers of Commerce ('Swiss Rules')
2.3.1.6. WIPO Arbitration and Expedited Arbitration Rules
2.3.2. Arbitration Rules that Do Not Impose Duties of Confidentiality upon the Parties
2.3.2.1. AAA/ICDR Rules
2.3.2.2. ICC Rules
2.3.2.3. SCC Rules
2.3.2.4. SIAC Rules
2.4. CONFIDENTIALITY UNDER NATIONAL LAW
2.4.1. Different Approaches in National Law
2.4.2. Jurisdictions Generally Considering Arbitration Confidential
2.4.2.1. England
2.4.2.2. France
2.4.2.3. New Zealand
2.4.2.4. Scotland
2.4.2.5. Singapore
2.4.2.6. Spain
2.4.3. Jurisdictions Where Arbitration Is Not Considered Confidential
2.4.3.1. Australia
2.4.3.2. Sweden
2.4.3.3. United States
2.5. PRACTICAL ISSUES ARISING FROM CONFIDENTIAL ARBITRATIONS
2.5.1. Potential Gaps vis-à-vis Arbitrators, Lawyers and Experts
2.5.1.1. Ethical Rules and Implied Duties in Relation to Arbitrators
2.5.1.2. Ethical Rules in Relation to Lawyers and Privilege Issues
2.5.1.3. Duties of Secrecy Binding Professionals
2.5.1.4. Conclusion: Erring on the Side of Caution Is Preferable
2.5.2. Large Corporate Disputants as Parties
2.6. PROTECTING CONFIDENTIAL INFORMATION IN NON-CONFIDENTIAL ARBITRATIONS
2.7. LIMITATIONS TO OBLIGATIONS OF CONFIDENTIALITY
2.7.1. Limitations in Relation to Express Confidentiality Agreements
2.7.2. Limitations in Institutional Rules Providing for Obligations of Confidentiality
2.7.2.1. WIPO Rules
2.7.2.2. LCIA Rules, Swiss Rules and HKIAC Administered Rules
2.7.3. Limitations in National Law Providing for Confidentiality
2.7.3.1. England
2.7.3.2. France
2.7.3.3. New Zealand
2.7.3.4. Scotland
2.7.3.5. Singapore
2.7.4. Protecting Sensitive Information if an Exception to Confidentiality Applies
3. PROTECTING CONFIDENTIAL INFORMATION AGAINST OPPOSING PARTIES
3.1. INTRODUCTION
3.2. FRAMEWORK FOR PROTECTING INFORMATION FROM THE PARTIES TO THE ARBITRATION
3.2.1. General Powers to Conduct the Proceedings
3.2.2. Rules Containing Express Provisions
3.2.2.1. WIPO Rules
3.2.2.2. ICC Rules
3.2.2.3. IBA Rules on the Taking of Evidence in International Commercial Arbitration
3.3. PRACTICAL MEASURES TO PROTECT CONFIDENTIAL INFORMATION AGAINST OPPOSING PARTIES
3.3.1. Ex Parte Disclosures
3.3.2. Redaction of Documents
3.3.3. Confidentiality Adviser
3.3.4. Orders Protecting Confidential Information
3.3.5. Confidentiality Agreements and Confidentiality Clubs
3.3.6. Disclosures to External Lawyers or Advocates Only
4. BREACH AND ENFORCEMENT OF OBLIGATIONS OF CONFIDENTIALITY AND PROTECTIVE MEASURES
4.1. RELEVANT ELEMENTS IN A BREACH ANALYSIS
4.1.1. Scope of the Duty Breached According to Its Primary Source
4.1.2. Applicable Law
4.1.3. Nature of the Information Disclosed
4.1.4. Type of Breach
4.2. JURISDICTION TO PURSUE A BREACH OF CONFIDENTIALITY OBLIGATIONS AND PROTECTIVE MEASURES
4.3. INTERIM RELIEF
4.4. PERMANENT REMEDIES
4.4.1. Damages
4.4.2. Permanent Injunctions and Similar Measures
4.4.3. Avoidance or Nullification of the Arbitration Agreement
4.5. OTHER POSSIBLE REMEDIES
Chapter 10 The Making, Setting Aside, Recognition and Enforcement of Arbitral Awards
1. INTRODUCTION
2. INTERNATIONAL ARBITRAL AWARDS
2.1. TYPES OF AWARDS
2.1.1. Final Awards
2.1.2. Partial Awards
2.1.3. Interlocutory Awards
2.1.4. Default Awards
2.1.5. Consent Awards
2.2. THE DECISION-MAKING PROCESS
2.2.1. Sole Arbitrators, Multiple Arbitrators and Deliberations
2.2.2. Unanimous Awards, Majority Awards and Awards by Presiding Arbitrator
2.2.3. Separate and Dissenting Opinions
2.3. FORMAL ASPECTS OF AWARDS
2.3.1. Requirements Contemplated by Most Rules and Laws
2.3.1.1. Requirements in General
2.3.1.2. Date of the Award
2.3.1.3. Place at Which the Award Was Made
2.3.1.4. Reasons
2.3.1.5. Signature
2.3.2. Contents of Awards in Practice
2.4. REMEDIES IN THE AWARD
2.4.1. General Aspects
2.4.2. Monetary Compensation
2.4.3. Interest
2.4.4. Orders to Do Something or to Refrain from Doing Something, Specific Performance
2.4.4.1. Common Law and Civil Law
2.4.4.2. Arbitration Practice
2.4.5. Declaratory Relief
2.4.6. Punitive Damages, Statutory Damages, Penalties on Breach and Astreintes
2.5. COST AWARDS
2.6. TIME LIMITS FOR THE MAKING OF THE AWARD
2.7. SCRUTINY OF AWARDS BY ADMINISTERING INSTITUTIONS
2.8. NOTIFICATION OF THE AWARD TO THE PARTIES
2.9. EFFECTS OF ARBITRAL AWARDS
2.9.1. Termination of the Tribunal's Jurisdiction
2.9.1.1. Issues Rather than Dispute as a Whole
2.9.1.2. Additional or Supplementary Awards
2.9.1.3. Correction of the Award
2.9.1.4. Interpretation of the Award
2.9.2. Preclusion upon the Parties: Res Judicata and Issue Preclusion
3. SETTING ASIDE OR ANNULMENT OF ARBITRAL AWARDS
3.1. INTRODUCTION
3.2. APPEAL MECHANISMS: REVIEW OF THE MERITS OF A DECISION
3.3. SETTING ASIDE OR ANNULLING INTERNATIONAL ARBITRAL AWARDS
3.3.1. Generalities, Courts and Time Limits
3.3.2. Grounds for Setting Aside Awards
3.3.2.1. Absence or Invalidity of the Arbitration Agreement
3.3.2.2. Jurisdictional Issues: Ultra Petita and Infra Petita
3.3.2.3. Procedural Issues
3.3.2.4. Inarbitrability
3.3.2.5. Public Policy
3.3.3. Consequences of a Court's Decision on Setting Aside Actions
4. RECOGNITION AND ENFORCEMENT OF ARBITRAL AWARDS
4.1. INTRODUCTION
4.2. RECOGNITION AND ENFORCEMENT OF FOREIGN AWARDS UNDER THE NEW YORK CONVENTION
4.2.1. General Aspects
4.2.2. Host Country's Jurisdiction
4.2.3. Required Documentation
4.2.4. Grounds to Refuse Recognition
4.2.4.1. Invalidity of the Arbitration Agreement
4.2.4.2. Procedural Fairness Issues
4.2.4.3. Jurisdictional Issues: Ultra Petita
4.2.4.4. Composition of the Arbitral Tribunal or Procedure Not in Accordance with the Arbitration Agreement or Relevant Law
4.2.4.5. The Award Is Not Binding, Set Aside or Suspended
4.2.4.6. Inarbitrability
4.2.4.7. Public Policy
5. ISSUES IN RELATION TO POTENTIAL COMPELLED ENFORCEMENT OF AWARDS PROVIDING FOR ORDERS TO DO SOMETHING OR TO REFRAIN FROM DOING SOMETHING
5.1. INTRODUCTION
5.2. COERCIVE MEASURES IN COMMON LAW COUNTRIES AND GERMANIC CIVIL LAW COUNTRIES
5.3. COERCIVE MEASURES IN FRENCH-BASED CIVIL LAW COUNTRIES
5.4. POTENTIAL ISSUES DUE TO THE CONCOMITANCE OF DIFFERENT LEGAL SYSTEMS
5.4.1. Enforcement in Common Law Countries of Remedies Granted under the Laws of a Civil Law Country
5.4.2. Enforcement in Civil Law Countries of Remedies Granted under the Laws of Common Law Countries
5.5. ARBITRAL TRIBUNAL'S RETENTION OF JURISDICTION
Chapter 11 IP Mediation
1. INTRODUCTION
2. GENERALITIES
2.1. ALTERNATIVE DISPUTE RESOLUTION (ADR)
2.1.1. Early Neutral Evaluation
2.1.2. Med-Arb
2.1.3. Arb-Med
2.2. KEY FEATURES OF MEDIATION
2.2.1. Neutrality and Independence of the Mediator
2.2.2. Voluntary
2.2.3. Confidential and without Prejudice
2.3. THE PROCESS OF MEDIATION
2.3.1. Preparation
2.3.1.1. Venue
2.3.1.2. Role of Lawyers
2.3.1.3. Duration of Mediation
2.3.1.4. Documentation
2.3.2. Parties' Attitudes
2.3.3. Attendance
2.3.4. Phases and Procedure
2.3.4.1. Contact with the Mediator Prior to the Mediation
2.3.4.2. Initial Formalities
2.3.4.3. Plenary Session
2.3.4.4. Exploration Phase
2.3.4.5. Negotiation Phase
2.3.4.6. Settlement Phase
2.3.4.7. No Settlement Outcome
2.3.5. Mediation Approach: Facilitative or Evaluative?
2.3.6. Utilizing the Mediator's Full Potential
3. MEDIATION PROVIDERS AND RULES
3.1. MEDIATION PROVIDERS
3.2. MEDIATION RULES
4. LEGAL FRAMEWORK
4.1. ADR ESCALATION CLAUSES
4.1.1. General Points on Escalation Clauses
4.1.1.1. Precise Definition of ADR?
4.1.1.2. Mandatory or Optional?
4.1.1.3. Post-ADR Provision
4.1.2. Sample Escalation Clauses
4.1.2.1. WIPO
4.1.2.2. LCIA
4.2. MEDIATION AGREEMENT
4.2.1. Confidentiality
4.2.2. Mediator: Appointment and Role
4.2.3. Duty to Disclose
4.2.4. Duration
4.2.5. Voluntary Termination
4.2.6. Settlement Agreements
4.2.7. Miscellaneous Elements in a Mediation Agreement
4.3. SETTLEMENT AGREEMENTS
4.3.1. Validity
4.3.1.1. Competition Law and Antitrust Issues
4.3.1.2. Criminal Conduct
4.3.1.3. General Compliance with Law
4.3.1.4. Mistake and Misrepresentation
4.3.2. Enforcement
4.3.3. Confidentiality
5. USING MEDIATION FOR RESOLVING IP DISPUTES
5.1. BENEFITS OF MEDIATION FOR RESOLUTION OF IP DISPUTES
5.1.1. Speed
5.1.2. Cost
5.1.3. Control over the Process and the Outcome
5.1.4. Creative Settlement Possibilities
5.1.4.1. Licensing of New Territories
5.1.4.2. Cross-Licensing of Technology or Connected IPRs
5.1.4.3. Sponsorship Agreements
5.1.4.4. Sourcing of Information
5.1.4.5. Declarations as to Consent for Registration of Patents and Other Registered IPR
5.1.4.6. Avoidance of Adverse Consequences of a Termination for Cause, and Concluding Deadlock
5.1.4.7. Improving Commercial Relationships with Competitors
5.1.5. Cross-Jurisdiction Resolution in a Single Forum
5.1.6. Continuity of Relationship
5.1.7. Confidentiality
5.2. CIRCUMSTANCES IN WHICH MEDIATION IS PARTICULARLY SUITABLE
5.3. LIMITATIONS OF MEDIATION
5.3.1. Matters Not Susceptible to Resolution by Mediation
5.3.2. Need for Legal Precedent
5.3.3. Remedy Required Unavailable at Mediation
5.3.4. Criminal Behaviour
5.3.5. Cost-Saving Less Critical When 'Stakes Are High'
6. THE MEDIATOR
6.1. SELECTION CONSIDERATIONS
6.1.1. Legal Experience
6.1.2. Technical Expertise and Background in the Industry or the Particular Type of IPR at Stake in the Dispute or in IP Generally
6.1.3. Commercial and Mediation Expertise
6.1.4. Approaches to the Role and Personality Considerations
6.1.5. Assurance of Neutrality
6.1.6. Potential to Develop Rapport and Trust
6.1.7. Availability
6.2. QUALITY STANDARDS AND TRAINING
7. MEDIATION AS AN AID TO ARBITRAL PROCEEDINGS
7.1. RIGHT TIME TO MEDIATE
7.1.1. Strategic Considerations
7.1.2. Prior to Arbitration
7.1.3. During Arbitration
7.1.4. After Arbitration
7.2. ARE THE ROLES OF MEDIATOR (OR CONCILIATOR) AND ARBITRATOR INTERCHANGEABLE?
7.3. CONSENT AWARDS AND TERMINATION OF THE ARBITRAL PROCEEDINGS
7.4. LIMITATION PERIOD
Appendix 1 Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York Convention), 1958
Appendix 2 WIPO Arbitration Rules, 2002
Appendix 3 WIPO Expedited Arbitration Rules, 2002
Appendix 4 WIPO Mediation Rules, 2002
Index
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International Intellectual Property Arbitration

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