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. ID : 8457

International arbitration law and practice
()Mauro Rubino-Sammartano
Административное процессуальное право
Hardcover
Kluwer law international
2001
1080
ISBN9041114254
1
Так
This volume reaffirms the author's distinctive approach in the context of the burgeoning global use of arbitration as the preferred means of dispute resolution. Focusing on the systematic procedural aspects that have developed from a remarkable convergence of legal systems - making arbitration today truly international rather than merely a proceedings in which the parties are of different nationality - Professor Rubino-Sammartano offers what should prove to be a uniquely valuable and useful book for both study and practice. In addition to the procedural and substantive analysis that characterized the first edition, this new edition features the following: new chapters on UNCITRAL arbitration, recognition, and enforcement under the New York Convention a wealth of new material on arbitration of commercial disputes between a State and a private party a new solution to conflicts problems using the doctrine of the tronc commun a formula of appeal with a de novo review and a self-executing mechanism and expert discussion of the idea of a new supranational arbitration court of appeal.
FOREWORD, by The Right Hon. The Lord Mustill.....................................v
PREFACE...........................................................................................................-vii
ACKNOWLEDGEMENTS................................................................................viii
CHAPTER 1. ARBITRATION AND ALTERNATIVE DISPUTES
RESOLUTION..................................................................................1
1.1 Arbitration.......................................................................................І
1.2 Ad hoc v. administered arbitration........................................................4
1.3 From hostility to favour......................................................................5
1.4 Conciliation and mediation.................................................................7
1.5 Alternative dispute resolution............................................................12
1.6 Mini trials......................................................................................14
1.7 Technical expertise, valuation, Schiedsgutachten, Bindend Advies,
quality arbitration............................................................................17
1.8 Technical expertise v. arbitration........................................................18
l.9Med arb ......................................................................................19
l.lOMedaloa......................................................................................20
1.11 Dispute review board (or advisors)....................................................20
1.12 Partnering.....................................................................................21
1.13 Sequence of ADR mechanisms.........................................................21
1.14 Court annexed arbitration................................................................22
1.15 Adaptation of contracts...................................................................24
1.16 Compulsory (or statutory) arbitration.................................................25
CHAPTER 2. NATIONALITY OF ARBITRATION................................29
2.1 The categories of national and foreign arbitration...................................29
2.2 Criteria for identifying nationality.......................................................31
2.2.1 The geographical criterion.....................................................31
2.2.2 The procedural criterion........................................................32
2.2.3 The difference between procedural nationality and the place taken into account for recognition of the award.................................38
2.3 The category of international arbitration...............................................39
2.3.1 The subjective criterion........................................................40
2.3.2 Reference to international commerce........................................41
2.3.3 The procedural criterion........................................................42
2.4 Conclusions...................................................................................46
CHAPTER 3. THE SOURCES OF INTERNATIONAL
ARBITRATION LAW.....................................................................47
3.1 International conventions..................................................................47
(a) Multilateral conventions...........................................................47
(b) Bilateral conventions...............................................................55
3.2 The intention of the parties................................................................56
3.3 Rules of arbitral institutions..............................................................56
3.4 Arbitrators' alternative choice.............................................................59
3.5 National legal systems......................................................................59
3.6 Precedents......................................................................................77
(a) Arbitral precedents...................................................................78
(b) Court precedents.....................................................................80
CHAPTER 4. ARBITRATION UNDER THE WASHINGTON
CONVENTION...............................................................................81
4.1 Origin of the Convention .................................................................81
4.2 Field of application..........................................................................82
4.3 Identifying the law applicable to investment contracts.............................84
4.4 Arbitral proceedings.........................................................................86
4.5 The award and its effects...................................................................90
4.6 ICSID second instance arbitration - MIGA...........................................98
4.7M.I.G.A.......................................................................................................104
CHAPTER 5. ARBITRATION UNDER THE ALGIERS
DECLARATIONS..........................................................................107
5 I Origin of the declarations - contents...................................................107
5.2 Form of the declarations...................................................................109
5.3 The two roles of the tribunal.............................................................110
5.4 Jurisdiction of the tribunal................................................................111
5.5 Applicable substantive and procedural laws.........................................112
5.6 Arbitral or non-arbitral nature of the tribunal.......................................-126
CHAPTER 6. INTERNATIONAL ARBITRATION LAW.......................133
6.1 Analysis as to the existence of a law of international arbitration...............133
6.2 International commercial arbitration...................................................134
6.2.1 A fragmentary body.............................................................135
6.2.2 Multilateral conventions......................................................135
6.2.3 Bilateral conventions...........................................................137
6.2.4 Other international conventions dealing incidentally
with arbitration..................................................................137
6.2.5 International arbitration rules................................................139
6.2.6 Consolidated principles of international commercial arbitration ... 140
6.3 Public international arbitration law....................................................142
6.4 Conclusions..................................................................................143
CHAPTER 7. INTERNATIONAL PUBLIC LAW ARBITRATION..........145
7.1. Arbitration and international public law disputes.................................145
7.2. Historical development of international public law arbitration................147
7.3. The Permanent Court of Arbitration..................................................149
7.4. The International Court of Justice.....................................................150
7.5. Settlement of international trade disputes {GATT and World Trade Organisation)................................................................................155
7.6. Main features of international public law arbitration..............................156
7.7. Arbitration between states and individuals..........................................158
7.8. Settlement of other public international disputes..................................160
CHAPTER 8. ARBITRATION OF COMMERCIAL DISPUTES
BETWEEN A STATE AND A PRIVATE PARTY.............................163
8.1 International arbitral tribunals alleged to be instruments of a Western
policy detrimental to developing countries...........................................163
8.2 The task of the Arbitral tribunal to apply the contract and law.................166
8.3 Temptations^to be resisted...............................................................168
CHAPTER 9. DISPUTES CAPABLE OF ARBITRATION AND ARBITRAL REMEDIES...................................................................................171
9.1 Disputes capable of settlement by arbitration.......................................171
9.2 Connection between disputes capable of settlement by arbitration and disputes which are not capable of settlement by arbitration......................183
9.3 Arbitral remedies............................................................................185
9.4 Punitive damages...........................................................................186
9.5 Pre- and post- award interest.............................................................187
9.6 Authority to amend or terminate a legal relationship.............................189
9.7 Treble damages..............................................................................192
CHAPTER 10. THE ARBITRATION AGREEMENT.............................195
10.1 The arbitration agreement and the contract with the arbitrators...............195
10.2 Capacity of the parties....................................................................197
10.3 Consent and form..........................................................................202
10.4 Contents.....................................................................................214
10.5 Duty to cooperate..........................................................................224
10.6 Autonomy...................................................................................225
10.7 Applicable law.............................................................................231
10.8 Validity of the arbitration agreement.................................................241
10.9 Time limit for entering into an arbitration agreement...........................248
10.10 Positive and negative effects..........................................................250
10.11 Conditions precedent...................................................................254
10.12 Waiver.....................................................................................256
10.13 Expiry .....................................................................................258
10.14 Remedies for invalidity................................................................264
10.15 Consummation of the right to arbitration.........................................265
10.16 Loss of effects if a public body takes over the position of a
contracting party.........................................................................267
CHAPTER 11. THE PARTIES TO ARBITRATION - CAPACITY TO
SUBMIT TO ARBITRATION.........................................................269
11.1 Private parties, public administrations and government enterprises.........269
11.2 Disputes as to the existence of an arbitration agreement........................272
11.3 Sovereign immunity......................................................................276
11.4 Subjective and objective changes in the original contract......................281
11.5 Participation of several connected parties in the proceedings..................282
11.6 Connected agreements and arbitration clause in one of them..................286
11.7 Succession in the contract...............................................................288
11.8 Third parties................................................................................294
11.9 Consolidation of proceedings..........................................................297
11.10 Multiparty arbitration...................................................................302
CHAPTER 12. THE ARBITRATOR.....................................................307
12.1 Relationship between the parties and the arbitrator: contract to arbitrate...307
12.2 Sole arbitrator or arbitral tribunal - even or odd number - the umpire....312
12.3 Criteria for choosing the arbitrator....................................................318
12.4 Direct or indirect appointment - Intuitus personae..............................322
12.5 Appointment - acceptance - lack of designation..................................324
12.6 Capacity of the arbitrator - sex and nationality....................................326
12.7 Physical person or legal entity.........................................................328
12.8 Training of arbitrators....................................................................329
12.9 Impartiality - absence-misconduct - challenge.................................330
12.10 Termination - replacement - truncated arbitration - effects..................345
12.11 Revocation, dismissal and challenge...............................................350
12.12 Rules of conduct.........................................................................352
12.13 Liability - immunity...................................................................356
12.14 Remuneration.............................................................................359
12.15 Possibility of appointing a secretary to the arbitral tribunal.................360
12.16 Substitute arbitrators....................................................................361
12.17 Arbitrator's involvement before State Courts.....................................361
CHAPTER 13. THE ROLE OF THE COURTS OF ARBITRATION........365
13.1 Ad hoc or administered arbitration...................................................365
13.2 Relationship between the parties and the Court of Arbitration................367
13.3 Litigation against arbitral institutions...............................................369
13.4 Anti-suit injunctions.....................................................................372
13.5 Relationship between the Court of Arbitration and the arbitrators...........374
13.6 The award and the Court of Arbitration.............................................375
CHAPTER 14. THE ROLE OF STATE COURTS AIDING
ARBITRATION.............................................................................379
14.1 Appointment of the arbitrators.........................................................379
14.2 Intervention to compel submission of dispute to arbitration or
terms of reference...........................................................................385
14.3 State Courts' rulings on validity of the arbitration agreement................385
14.4 Challenge of arbitrators..................................................................389
14.5 Identification of the Court having jurisdiction.....................................394
14.6 Intervention during evidence...........................................................395
14.7 Consolidation of proceedings..........................................................399
14.8 Filing of the award........................................................................400
14.9 Final or binding nature of the award.................................................401
14.10 Interlocutory injunctions...............................................................404
14.11 Aid not interference......................................................................406
14.12 Whether to review the merits of the award........................................407
14.13 Orders in respect of security for costs...............................................413
CHAPTER 15. SUBSTANTIVE LAW.................................................417
15.1 Choice by the parties.....................................................................417
15.1.1 Express choice..................................................................418
15.1.2 Tacit choice.....................................................................422
15.2 Deviation from the law chosen by the parties......................................425
15.3 Choice by the arbitrators................................................................426
15.4 Lex mercatoria.............................................................................438
15.5 The tronc commun........................................................................446
15.6 Lack of proof of the foreign substantive law........................................455
CHAPTER 16. EX BONO ET AEQUO DECISIONS AND AMIABLE
COMPOSITION.............................................................................457
16.1 Ex bono ct aequo..........................................................................457
16.1.1 Common law hostility......................................................457
16.1.2 Aequitas in Roman law......................................................461
16.1.3 Equity in England at the time of Norman Kings......................462
16.1.4 Similarities between the two notions....................................462
16.1.5 Actual application of ex bono et aequo..................................463
16.1.6 Ex bono et aequo and the modem legal systems.....................463
16.1.7 Aequitas in international arbitration and public policy.............466
16.1.8 Limits to discretionary authority under aequitas.....................467
16.1.9 Conclusions....................................................................469
16.2 Amiable composition....................................................................469
16.2.1 Original notion................................................................469
16.2.2 Authority as amiable compositeur........................................469
16.2.3 The French notion............................................................471
16.2.4 Distinction between amiable composition and ex bono et aequo 471
16.2.5 Situations where the amiable compositeur is instructed
to decide..........................................................................473
CHAPTER 17. APPLICABLE PROCEDURAL LAW.............................475
17.1 Parties' freedom of choice................................................................475
17.2 Lack of choice - possibility to apply a procedural law different from
that of the place of arbitration...........................................................478
17.3 Denationalization of arbitral proceedings............................................484
17.4 Nationless vis-a-vis international arbitration.......................................485
17.5 No absolute need for a national procedural law....................................486
17.6 Supranationality of arbitration rules..................................................487
17.7 No need for a national procedural law for international arbitration...........488
17.8 Several procedural laws and procedural tronc common.........................497
17.9 Rationale and effects of the choice of a procedural law different
from the law of the place of arbitration...............................................498
17.10 Procedural public policy...............................................................500
17.11 Conclusions...............................................................................500
CHAPTER 18. ARBITRATION AND PUBLIC POLICY.........................503
18.1 The role of public policy................................................................503
18.2 Public policy and normes d'application immediate.............................504
18.3 Public policy and fraude a la hi.....................................................505
18.4 Domestic public policy and international public policy........................505
18.5 Foreign public law........................................................................506
18.6 Substantive public policy and procedural public policy........................507
187 Procedural public policy.................................................................5! 1
18.8 Substantive public policy...............................................................522
18.9 Conclusions................................................................................531
CHAPTER 19. EC LAW, THE BRUSSELS CONVENTION AND
ARBITRATION.............................................................................537
19.1 The Brussels Convention.............................................................-537
19.1.1 Arbitration-ambit of its exclusion from the convention.............537
19.1.2 Referral by arbitrators of preliminary issues to the European
Court of Justice...............................................................538
19.1.3 The European Court of Justice as arbitrator...........................539
19.2 EC Competition law and arbitration.................................................539
19.2.1 Disputes capable of arbitration.............................................539
19.2.2 Foreign applicable substantive law and EC competition law.....540
19.2.3 The strict approach............................................................540
19.2.4 The more recent approach...................................................541
19.2.5 Public policy nature of articles 85-86 Rome Treaty.................543
19.2.6 Applicability of EC Law by the arbitral tribunal of its
own initiative..................................................................543
19.2.7 Arbitral precedents............................................................544
19.2.8 Court precedents...............................................................544
19.3 Directive 93 13 EC, consumers1 protection and arbitration...................545
CHAPTER 20. SPEED IN ARBITRATION............................................547
20.1 Delays during the proceedings.........................................................547
20.2 Speed and quality..........................................................................548
20.3 Due speed....................................................................................548
20.4 Accelerated arbitration....................................................................549
20.5 Fast track arbitration......................................................................550
20.6 ICC fast track arbitration................................................................551
20.7 Arbitration on line........................................................................553
CHAPTER 21. DOCUMENTS ONLY ARBITRATION...........................555
21.1 Specific problems of middle size and small claims..............................555
21.2 Consumer arbitration.....................................................................556
21.3 Documents only arbitration.............................................................557
21.4 Documents only arbitration and due process.......................................558
CHAPTER 22. THE VENUE OF THE PROCEEDINGS...........................563
22.1 Notion of venue............................................................................563
22.2 Effects of the choice of the venue......................................................564
22.3 Criteria for the choice of the venue....................................................565
22.4 Delegation of the choice of the venue................................................566
22.5 Holding part of the proceedings elsewhere..........................................567
22.6 Effects of non compliance with the venue...........................................568
22.7 Change of venue...........................................................................569
22.8 Lack of choice of venue and lack of designation of authority.................569
CHAPTER 23. PRELIMINARY ISSUES AND INITIAL STAGE.............571
23.1 Basic premise for arbitral proceedings...............................................571
23.2 Parties' representation....................................................................572
23.3 Formation of the arbitral tribunal.....................................................575
23.4 Minutes of meetings......................................................................577
23.5 Language of the proceedings............................................................578
23.6 Preliminary issues.........................................................................580
23.7 Decision on arbitral jurisdiction: Kompetenz-Kompetenz......................584
23.8 Nature and limits of the terms of reference..........................................586
23.9 Pre-trial conference v. order for directions.........................................592
23.10 The arbitrator's duty to assist........................................................593
23.11 The role of the chairman of the arbitral tribunal.................................594
23.12 Connection with non-arbitrable disputes..........................................595
23.13 Counterclaims............................................................................596
23.14 Lis pendens between arbitral and Court proceedings..........................600
23.15 Muiti-fora disputes......................................................................606
23.16 Dilatory tactics...........................................................................608
23.17 Effects of lack of recourse to earlier conciliation or of lack of
referral of the dispute to the Engineer...............................................609
23.18 Exchange of pleadings..................................................................6! 1
23.19 New claims................................................................................612
23.20 Timetable of the proceedings.........................................................614
CHAPTER 24. INTERLOCUTORY INJUNCTIONS...........................-..617
24.1 In domestic arbitration...................................................................617
24.1.1 Authority of (he arbitrator...................................................617
24.1.2 Authority reserved to state courts.........................................620
24.1.3 Concurrent authority of the arbitrator and of state courts...........622
24.2 In international arbitration..............................................................624
24.2.1 Authority under the applicable procedural law........................624
24.2.2 Procedural public policy of the lex loci arbitrates...................630
24.3 Distinctions between holding measures and interlocutory injunctions.....631
24.4 Judicial and arbitral precedents........................................................633
24.5 Standards for the issue of interlocutory injunctions..............................644
24.6 State Court's enforcement of arbitral injunctions.................................644
24.7 Arbitrator's authority to vacate injunction granted by state court............645
24.8 Interlocutory injunctions in the form of awards...................................646
24.9 Interference between court proceedings and arbitral interim injunctions...647
24.10 Pre-arbiiral referee........................................................................647
24.11 Damages for wrongful injunction....................................................648
24.12 Payment orders during the proceedings............................................649
24.13 Conclusions...............................................................................650
CHAPTER 25. THE EVIDENCE STAGE AND THE FINAL STAGE.......653
25.1 The burden and standard of proof.....................................................653
25.2 Admissibility of evidence - substantive or procedural issue..................656
25.3 Leave to call evidence....................................................................658
25.4 The taking of evidence...................................................................665
25.5 Publicity of hearings......................................................................667
25.6 Recording of hearings....................................................................668
25.7 Documentary evidence - discovery...................................................670
25.8 Evidence by witnesses...................................................................679
25.9 Consequences of false testimony......................................................689
25.10 Tandem witness examination........................................................690
25.11 Evidence by the parties.................................................................691
25.12 Applications to state courts for assistance in the taking of evidence.......693
25.13 Experts.....................................................................................695
25.14 Presumptions.............................................................................702
25.15 Personal knowledge of the arbitrator...............................................704
25.16 Need for availability of international standard rules of evidence.............706
25.17 Time bars and non-mandatory terms...............................................707
25.18 Closing of the hearings and final statement of claims and defences........710
25.19 Arbitrators dispensed with compliance with strict rules of evidence.......711
CHAPTER 26. BREACH OF DUE PROCESS........................................715
26.1 Notion of due process....................................................................715
26.2 Equal treatment in regard to the appointment of arbitrators....................717
26.3 Partiality or lack of independence.....................................................718
26.4 Term to appear.............................................................................719
26.5 Time limits to file pleadings...........................................................720
26.6 Discovery of documents.................................................................720
26.7 Right to call and to examine witnesses.............................................721
26.8 The right to present one's case and to oppose the case of the
opposite party..............................................................................723
26.9 Other breaches of due process..........................................................728
26.10 Concealed enemies of due process...................................................728
26.11 Parties' right to representation by counsel........................................728
26.12 Denial of justice..........................................................................729
CHAPTER 27. THE AWARD..............................................................731
27.1 Possibility of interim awards...........................................................731
27.2 Interim awards and orders...............................................................736
27.3 Final award..................................................................................738
27.4 Finality of interim awards....................................................-..........739
27.5 Arbitral post award proceedings: correction, interpretation and
additional award...........................................................................739
27.6 Duty to decide..............................................................................748
27.7 Time limit for the award................................................................751
27.8 Lack of signature by all the arbitrators...............................................757
27.9 Discussion and decision.................................................................758
27.10 Non-attendance at the decision.......................................................760
27.11 Decision by a majority or casting
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