
Pervasive Problems in International Arbitration
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In a three-day symposium held at the School of International Arbitration, Centre for Commercial Law Studies (CCLS), Queen Mary University of London, on the occasion of its twentieth anniversary in April 2005, a stellar array of practitioners and academics undertook the task of taking a fresh look at some of the persistent legal and practice issues of international arbitration. The conference-and this book derived from it-illustrate the combination of the scholarly and the highly practical which has characterised the mission of the School of International Arbitration since its establishment in 1985.
These insightful papers demonstrate not only the increasing breadth and scope of the subject, but also the way in which many of its themes and issues cross legal and disciplinary boundaries and pose questions for the future of the law and arbitration practice in an internationalised world. These include:
- public policy;
- mandatory rules;
- confidentiality;
- provisional measures;
- res judicata;
- costs;
- amicus briefs;
- groups of companies;
- parallel proceedings; and
- anti-suit injunctions.
Contributors focus on topics and countries with which they have particular expertise or experience. Both international commercial and international investment arbitration are covered.
This important book will be of great interest to arbitration lawyers, international lawyers and business people, as well as to academics, libraries, and students of dispute resolution.
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Content
- Cover
- Half Title Page
- Title Page
- Copyright Page
- FOREWORD
- Table of Contents
- TABLE OF ABBREVIATIONS
- INTRODUCTION FUNDAMENTAL PROBLEMS IN INTERNATIONAL ARBITRATION
- PART I INTERNATIONAL ARBITRATION AND POLICY ISSUES
- CHAPTER 1 MITSUBISHI AFTER TWENTY YEARS: MANDATORY RULES BEFORE COURTS AND INTERNATIONAL ARBITRATORS
- I. INTRODUCTION
- II. THE MITSUBISHI DOCTRINE
- 1. Background
- 2. The Mitsubishi Decision
- 3. Understanding Mitsubishi
- III. THE COURTS' PERSPECTIVE
- 1. Improper Delegation
- 2. The Waiver Argument
- 3. Arbitration of Mandatory Rules After Mitsubishi
- IV. THE ARBITRATORS' PERSPECTIVE
- 1. Mandatory Rules and Arbitral Authority
- 2. Application of Mandatory Rules Which Exceed the Parties' Agreement
- CHAPTER 2 EFFECT OF INTERNATIONAL PUBLIC POLICY IN INTERNATIONAL ARBITRATION?
- I. INTRODUCTION
- II. NOTION OF TRANSNATIONAL PUBLIC POLICY
- III. NATURE OF TRANSNATIONAL PUBLIC POLICY
- 1. Proposed Analysis
- 2. Consequences of the Proposed Analysis
- IV. CHOICE BETWEEN RELIANCE ON TRANSNATIONAL PUBLIC POLICY AND APPLICATION OF MANDATORY STATE RULES
- CHAPTER 3 DETERMINATION AND APPLICATION OF RELEVANT NATIONAL AND INTERNATIONAL LAW AND RULES
- I. INTRODUCTION
- II. ETAT DES LIEUX (INVENTORY)
- III. HIERARCHY?
- IV. ROLE OF CONFLICT OF LAWS
- V. A SPECIAL NOTE ON THE INTERPRETATION OF THE CONTRACT
- VI. HOW TO ASCERTAIN THE CONTENT OF THE APPLICABLE LAW?
- VII. EVOLUTION OF THE APPLICABLE LAW OVER TIME
- VIII. EXTENT TO WHICH A JUDGE MAY CONTROL THE APPLICATION OF THE LAW OR RULES BY THE ARBITRAL TRIBUNAL
- CHAPTER 4 THE TRANSPARENCY OF INTERNATIONAL ARBITRATION: PROCESS AND SUBSTANCE
- I. INTRODUCTION: ARBITRAL CONFIDENTIALITY IN RELATED COURT PROCEEDINGS
- II. ESTABLISHED CONFIDENTIALITY
- III. CONFIDENTIALITY AND ENGLISH LAW
- IV. CONCLUSION
- CHAPTER 5 TIME AND MONEY: COST CONTROL AND EFFECTIVE CASE MANAGEMENT
- I. INTRODUCTION
- II. THE COSTS OF ARBITRATION
- 1. The Cost Structure of Arbitration
- 2. The Various Methods of Calculating the Arbitrators' Fees
- (a) Institutional Arbitration
- (b) UNCITRAL Arbitration Rules 1976 and ad hoc Arbitration
- (c) The Administrative Fees
- (d) The Comparison between the Different Calculation Methods
- (e) The Cost of Legal Representation
- III. THE REASONS FOR THE INCREASING COST OF ARBITRATION
- IV. HOW TO CONTROL AND REDUCE THE COST OF ARBITRATION
- V. CONCLUSION
- PART II NATIONAL AND INTERNATIONAL REGULATION OF INTERNATIONAL ARBITRATION
- CHAPTER 6 AUTONOMY OF INTERNATIONAL ARBITRATION PROCESS
- I. INTRODUCTION
- II. INTERNATIONAL ARBITRATION PROCEDURE
- III. NOMINATION AND APPOINTMENT OF ARBITRATORS
- IV. SEPARABILITY AND KOMPETENZ-KOMPETENZ - DIFFERENT APPROACHES TO THESE QUESTIONS AND LIMITS
- V. STANDARDS IN RESPECT OF EXPERT EVIDENCE
- VI. CONCLUSIONS
- CHAPTER 7 THE PROCEDURAL SOFT LAW OF INTERNATIONAL ARBITRATION: NON-GOVERNMENTAL INSTRUMENTS
- I THE CHALLENGE OF SOFT LAW
- II. SOFT LAW AND THE ARBITRAL PROCESS
- 1. What Consumers Want: Balancing Fairness and Efficiency
- 2. "Judicialisation"
- 3. Institutional Rules
- 4. Divergent Cultural Baselines
- 5. Secondary Markets for Rules: Illustrating the Impact of Soft Law
- (a) Who Gets the Last Word?
- (b) Ex Parte Measures
- III. SOFT LAW AND THE IMPERIAL ARBITRATOR
- CHAPTER 8 THE ROLE OF NATIONAL COURTS AND LEX FORI IN INTERNATIONAL COMMERCIAL ARBITRATION
- I. LEX FORI AND LAWS TO BE APPLIED TO AN ARBITRATION
- 1. Three Laws Distinguished
- 2. The Applicable Laws Referred to in the New York Convention
- 3. Arbitration Agreement v. Lex Arbitri
- II. THE JUDICIAL ROLE WITH REGARD TO ARBITRATION AGREEMENT
- 1. The New York Convention and National Legislations
- 2. Stay of the Court Action and Anti-Suit Injunctions in England and the United States
- 3. Upon the Request of a Party?
- 4. Null and Void, Inoperative or Incapable of Being Performed
- (a) Meaning of the Terms
- (b) Which Law to Decide "Null and Void, Inoperative or Incapable of Being Performed"?
- (c) The Judicial Review of the Existence, Validity and Scope of the Arbitration Agreement
- III. THE JUDICIAL ROLE IN THE COMPOSITION OF THE TRIBUNAL
- 1. Equal Treatment Concern
- 2. Arbitration Agreement and Lex Fori Regarding the Composition of the Tribunal
- 3. The Court's Role in the Constitution and Reconstitution of the Tribunal
- IV. THE JUDICIAL ROLE WITH REGARD TO INTERIM MEASURES OF PROTECTION
- 1. Which Organ to Order Interim Measures, the Court or the Tribunal?
- (a) Necessity of Court-Ordered Measures
- (b) Three Approaches
- 2. Whether Ordering Interim Measures is in Violation of the Agreement to Arbitrate?
- 3. Judicial Enforcement of Interim Measures in Support of International Commercial Arbitration
- (a) Enforcement of Tribunal-Ordered Measures
- (b) Enforcement Of Court-Ordered Measures by the Court of Another Jurisdiction
- V. COURT REVIEW OF ARBITRAL AWARDS
- 1. Two Types of Review and Applicable Laws
- 2. Grounds for Refusing Recognition and Enforcement and Grounds for Setting Aside
- 3. Delocalized Awards
- 4. Enforcement Despite the Existence of a Ground for Refusal
- (a) Enforcement of an Award in Spite of its Being Set Aside
- (b) Enforcement Despite Procedural Irregularities
- VI. CONCLUSION
- CHAPTER 9 PROVISIONAL MEASURES
- I. INTRODUCTION
- II. ARBITRAL PROVISIONAL MEASURES
- 1. Jurisdiction of Arbitrators
- 2. Standards, Principles and Procedure
- III. COMPLEMENTARY MECHANISMS
- 1. Emergency Measures from a Head or Organ of an Arbitral Institution
- 2. Emergency Arbitral Provisional Measure Procedures
- IV. ENFORCEMENT OF ARBITRAL PROVISIONAL MEASURES
- V. CONCLUSION
- CHAPTER 10 REFLECTIONS ON THE USE OF ANTI-SUIT INJUNCTIONS IN INTERNATIONAL ARBITRATION
- I. INTRODUCTION
- II. THE VARIED USE OF ANTI-SUIT INJUNCTIONS IN INTERNATIONAL ARBITRATION
- III. THE INADEQUACY OF ANTI-SUIT INJUNCTIONS IN INTERNATIONAL ARBITRATION
- PART III INTERNATIONAL ARBITRATION AND STATE PARTIES
- CHAPTER 11 INVESTMENT ARBITRATION AND COMMERCIAL ARBITRATION (OR THE TALE OF THE DOLPHIN AND THE SHARK)
- I. INTRODUCTION
- II. THE DIFFERENCES
- 1. Source of the Consent to Arbitrate
- 2. The Amicable Negotiation Period
- 3. Nature of the Issues
- 4. Applicable Law
- 5. State Participation
- 6. Transparency
- 7. Publicity of Decisions
- 8. Importance of Lex Arbitri
- 9. International Legal Effect
- III. SIMILARITIES
- IV. CONCLUSION
- CHAPTER 12 JURISDICTION CHALLENGES IN BIT ARBITRATIONS - DO YOU READ A BIT BY READING A BIT OR BY READING INTO A BIT?
- I. OVERVIEW
- II. SUBSTANCE V. APPEARANCE IN ICSID ARBITRATIONS
- III. CMS GAS TRANSMISSION COMPANY V. THE REPUBLIC OF ARGENTINA
- IV. SGS SOCIETE GENERALE DE SURVEILLANCE SA V. ISLAMIC REPUBLIC OF PAKISTAN
- V. SGS SOCIÉTÉ GÉNÉRALE DE SURVEILLANCE SA V. REPUBLIC OF THE PHILIPPINES
- VI. TOKIOS TOKELÉS V. UKRAINE
- VII. CONCLUSION
- CHAPTER 13 INTERPRETATION OF TREATIES: HOW DO ARBITRAL TRIBUNALS INTERPRET DISPUTE SETTLEMENT PROVISIONS EMBODIED IN INVESTMENT TREATIES?
- I. THE QUESTION: HOW TO APPROACH IT AND WHY IT IS RELEVANT
- II. A REMINDER: BASICS OF TREATY INTERPRETATION
- 1. The Vienna Convention
- 2. A Comparison with Contract Interpretation
- III. THE APPLICATION OF TREATY INTERPRETATION RULES TO DISPUTE SETTLEMENT PROVISIONS IN INVESTMENT TREATIES
- 1. Treaty v. Contract Claims
- 2. "Disputes with Respect to Investments"
- 3. Umbrella Clause
- 4. Most Favoured Nation Clause
- IV. THE ANSWER: CONSISTENT AND OTHER SOLUTIONS, AND POSSIBLE REMEDIES
- 1. Consistent Solutions
- 2. Divergent Solutions due to Different Treaty Provisions
- 3. Remaining Inconsistencies and Remedies
- PART IV INTERNATIONAL ARBITRATION AND THIRD PARTIES
- CHAPTER 14 GROUPS OF COMPANIES IN INTERNATIONAL ARBITRATION
- I. INTRODUCTION
- II. LEADING CASES
- III. TENTATIVE CONCLUSIONS
- IV. PETERSON FARMS
- CHAPTER 15 THE IMPACT OF THIRD PARTIES ON INTERNATIONAL ARBITRATION - ISSUES OF ASSIGNMENT
- I. INTRODUCTORY REMARKS
- 1. Kompetenz-Kompetenz
- 2. The Importance (and Problem) of Consent
- 3. Particular ICSID and Other Investor-State Issues
- II. CONTRACTUAL PERMISSIONS AND RESTRICTIONS
- III. RELEVANT LAWS
- IV. PENDING ARBITRATIONS
- V. ASSIGNMENT AND THE BURDEN OF AN ARBITRATION AGREEMENT
- VI. CONCLUSIONS
- CHAPTER 16 THE AMICUS ROLE IN INTERNATIONAL ARBITRATION
- I. AMICUS CURIAE FRINGE OR MAINSTREAM
- 1. Methanex v. United States
- 2. UPS v. Canada
- 3. NAFTA and ICSID
- II. DIFFERENTIAL IMPACT ON THE ARBITRATING PARTIES
- CHAPTER 17 PARALLEL PROCEEDINGS, RES JUDICATA AND LIS PENDENS: PROBLEMS AND POSSIBLE SOLUTIONS
- I. INTRODUCTION
- II. PARALLEL PROCEEDINGS
- 1. Introductory Remarks
- 2. The Czech Republic Arbitrations
- III. THE PRINCIPLES OF RES JUDICATA AND LIS PENDENS
- 1. Res Judicata
- 2. Lis Pendens
- IV. APPLICATION OF DOCTRINES IN RECENT INTERNATIONAL CASES
- V. POSSIBLE SOLUTIONS TO THE CURRENT PROBLEM
- VI. CONCLUSION
- CHAPTER 18 ARBITRATION AND INSOLVENCY PROCEEDINGS - SELECTED PROBLEMS
- I. INTRODUCTION
- II. OVERVIEW OF THE BASIC PRINCIPLES AND FEATURES OF INSOLVENCY LAW
- III. POSSIBLE AREAS OF CONFLICT
- IV. THE BINDING FORCE OF INSOLVENCY PROVISIONS FOR COURTS AND TRIBUNALS
- V. EFFECTS OF THE EXCLUSIVE JURISDICTION AND MANDATORY STAY PROVISIONS ON ARBITRATION
- 1. The Effects on Objective Arbitrability
- (a) The American View: Limitations on Objective Arbitrability
- (b) Arbitrability According to the European View
- 2. Other Restrictions Imposed in Connections with the "Collective Procedure Principles"
- (a) Filing Requirements and Temporary Stays
- (b) Limitations on the Remedies Available
- VI. EFFECTS OF "DIVESTMENT AND SUBSTITUTION" PROVISIONS ON ARBITRATION
- 1. Effects on the Tribunal's Jurisdiction: The Personal Scope of the Agreement
- (a) Debtor Derived Claims
- (b) Non Debtor Derived Claims
- 2. Effects on the Arbitration Proceedings
- VII. EFFECTS OF TRUSTEE'S STATUTORY POWERS TO AVOID EXECUTORY CONTRACTS ON ARBITRATION
- VIII. ARBITRATION PRACTICE
- IX. CONCLUSION
- SUBJECT INDEX
- Back Cover
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