ARBITRATION OF INTERNATIONAL INTRLLECTUAL PROPERTY DISPUTESPDF电子书下载

CHAPTER 1 Introduction&Thomas D. Halket 1

Ⅰ. History 1

Ⅱ. International IP Disputes 3

Ⅲ. The Benefits of Arbitration for International IP Disputes 10

A. Preservation of the Business Relationship 11

B. Cost of the Proceedings 12

C. Speed of the Proceedings 17

D. Forum Location Selection-the Arbitral Seat 18

E. Forum Neutrality 25

F. Confidentiality of the Proceedings 27

G. Sophisticated and Experienced Adjudicators, Particularly with Technology and IP Matters 30

H. Controllable Proceedings Generally 34

I. Controllable Timetable 43

J. Avoidance of the Risk of Inconsistent Judgments 44

K. Possible Limited Preclusive Effect of Award 45

L. International Enforcement of Award 48

Ⅳ. Conclusion 52

CHAPTER 2 Arbitrability of Intellectual Property Disputes&Steven A. Certilman and Joel E. Lutzker 55

Ⅰ. Introduction 55

Ⅱ. The Impact of Arbitrability 57

A. What is Arbitrability? 57

B. The Significance of Arbitrability for Intellectual Property Disputes 58

C. The Adjudication of Arbitrability 59

Ⅲ. Arbitrability Issues Arising in IP Disputes 66

A. Validity Claims 72

B. Antitrust Issues 83

C. Criminal Conduct 84

D. Export Controls and other Trade Restrictions 85

E. Other Disputes 87

Ⅳ. Country Survey 88

A. United States of America 88

B. United Kingdom 90

C. France 91

D. Germany 92

E. Switzerland 93

F. People's Republic of China 94

G. Singapore 94

H. Japan 95

Ⅴ. Conclusion 95

CHAPTER 3 The Arbitration Agreement&Thomas D. Halket and Susan H. Nycum 97

Ⅰ. Introduction 97

Ⅱ. Importance of the Arbitration Agreement 99

Ⅲ. Preliminary Issues 101

A. Types of Arbitration Agreements 101

B. When to Draft the Arbitration Provision 102

C. Who Should Draft the Arbitration Provision? 103

D. Sources of Model Agreements 104

Ⅳ. Specific Drafting Issues 107

A. Multi-step Resolution and Alternative Resolution Mechanisms 107

B. Selection of the Administrative Body 120

C. Scope of Disputes to Be Referred to Arbitration 124

D. Place or Seat of the Arbitration 130

E. Location of the Hearings 132

F. The Selection of Arbitrators 133

G. Language of the Arbitration 143

H. Choice of the Law 145

I. Confidentiality and Protection of Trade Secrets 150

J. Permitted Discovery 152

K. Matters Relating to the Conduct of the Hearings 157

L. Allocation of Fees and Costs 162

M. Sanctions 166

N. Provisional and Conservancy Measures 169

O. Limitations on the Bringing of Claims or the Granting of Damages 172

P. The Award 176

Ⅴ. Conclusion 181

CHAPTER 4 The Rules of Selected Administrative Bodies Relevant to Intellectual Property Disputes&Frank L. Politano 185

Ⅰ. Introduction 185

Ⅱ. Important Factors in Selecting a Dispute Resolution Provider 186

A. Preliminary Injunctive Relief 186

B. Confidentiality and Privacy 187

C. Adjudicators with Subject Matter Experience 188

D. Discovery 189

Ⅲ. Advantages and Disadvantages of Administered Arbitration 189

Ⅳ. Overview of Administrative Body Rules 190

A. World Intellectual Property Organization 190

B. Internet Corporation for Assigned Names and Numbers Rules 197

Ⅴ. Supplemental Rules 199

A. The American Arbitration Association 200

B. International Institute for Conflict Prevention and Resolution 206

C. The International Chamber of Commerce 209

D. JAMS 211

E. The United Nations Commission on International Trade Law 213

F. The London Court of International Arbitration 214

G. The Singapore International Arbitration Centre 216

H. Other Arbitral Centers 218

Ⅵ. Conclusion 219

CHAPTER 5 Choice of Arbitrator&James Bridgeman 223

Ⅰ. Introduction 223

Ⅱ. The Constitution and Composition of the Tribunal 226

A. Number of Arbitrators 226

B. Arbitrator Selection Procedures 230

Ⅲ. The Qualities and Qualifications of the Arbitrator 235

A. Party Choice 236

B. Mandatory Qualifications under the Law 237

C. Mandatory and Optional Qualifications under Arbitral Rules 239

D. Arbitrator Characteristics and Qualifications for IP Disputes 240

E. Identifying and Selecting the Tribunal 250

Ⅳ. The Principles of Independence and Impartiality 252

A. The Nature of the Requirement of Independence 253

B. Sources of Information and the Appointee's Duty of Disclosure 264

C. Independence and Impartially Issues in IP Arbitrations 265

Ⅴ. Conclusion 267

CHAPTER 6 Confidentiality During and After Proceedings&Laura A. Kaster 271

Ⅰ. Introduction 271

Ⅱ. Privacy and Confidentiality under Institutional Rules 274

A. The Privacy of the Proceedings 275

B. Confidentiality of the Proceedings 277

Ⅲ. Confidentiality under National Law 288

A. United States Law on Arbitration Confidentiality 289

B. United Kingdom Law on Arbitration Confidentiality 302

C. The Law of Commonwealth Countries on Arbitration Confidentiality 306

D. Swedish Law 309

E. French Law 310

F. Swiss Law 310

Ⅳ. Protection of Business and Trade Secrets 312

A. Definition of Business Secrets, Trade Secrets and Confidential Information 312

B. Protective Measures 316

Ⅴ. Remedies 318

A. Remedies under National Law 319

B. Remedies before the Arbitration Tribunal 322

Ⅵ. Practical Conclusions 322

CHAPTER 7 Disclosure and Admission of Evidence in the International Arbitration of Intellectual Property Disputes&Joseph P. Zammit, Todd R. Hambidge and Jamie Hu 325

Ⅰ. Introduction-the Need for Disclosure in Intellectual Property Cases 325

Ⅱ. The Background of Discovery and Disclosure in International Arbitration 326

Ⅲ. General Practices in Modern International Arbitration 330

A. Types of Evidence Admissible in International Arbitration 331

B. Depositions and Interrogatories 337

C. Third Party Discovery 338

Ⅳ. Arbitral Rules Pertaining to Disclosure 338

A. London Court of International Arbitration Rules 339

B. AAA/ICDR Rules and Guidelines 341

C. UNCITRAL Rules 345

D. ICC Rules of Arbitration 346

E. WIPO Arbitration Rules 346

F. Singapore International Arbitration Centre Rules 347

G. The Rules and Guidelines of the CPR 348

H. JAMS International Rules and JAMS Rules 352

I. IBA Evidence Guidelines 355

Ⅴ. Electronic Document Disclosure 359

A. Local National Law and Electronic Document Disclosure 361

B. Arbitral Rules Regarding Electronic Document Disclosure 362

C. The CIArb Protocol for E-Disclosure in Arbitration 363

Ⅵ. The Seat of Arbitration and Its Effect on Disclosure 365

A. United States' Laws that Aid Disclosure 366

B. The English Arbitration Act of 1996 369

C. The Singapore Arbitration Acts 369

D. French Arbitration Law 371

E. Swiss Private International Law Act 371

F. Multinational Laws to Assist with Disclosure 371

Ⅶ. Privilege and Its Effect on the Scope of Disclosure 374

A. The Concepts of Privilege among Different Jurisdictions 374

B. Privilege between Clients and Patent Agents 376

C. The Rules of Arbitral Institutions with Respect to Privilege 378

D. Proposals to Determine Privilege Issues in International IP Arbitration 381

Ⅷ. Sanctions for Noncompliance with Arbitrator's Disclosure Ruling 382

Ⅸ. Conclusion 386

CHAPTER 8 Choice of Law&Theodore J. Folkman and David Lee Evans 389

Ⅰ. Introduction 389

Ⅱ. Law Governing the Merits 390

A. The Factors used by the Tribunal to Choose the Applicable Substantive Law in the Absence of a Choice of Law by the Parties 391

B. What Substantive Law Will the Tribunal Apply? 401

C. Limits on the Parties' Freedom of Choice 420

Ⅲ. Law Governing the Arbitration 427

A. Law Governing the Arbitration in the Absence of a Choice of Law 427

B. Limits on the Parties' Freedom of Choice 430

Ⅳ. Law Governing the Arbitration Agreement 431

Ⅴ. Conclusion 433

CHAPTER 9 The Impact of Public Policy Considerations&Richard Kreindler and Anna G. Tevini 437

Ⅰ. Introduction 437

Ⅱ. Meaning and Function of Public Policy in International Arbitration 438

A. The Function of Public Policy in International Arbitration Generally 442

B. The Impact of Public Policy Considerations in IP Disputes 444

Ⅲ. Public Policy Limitations in International Arbitration and their Particular Relevance to Intellectual Property Disputes 446

A. Public Policy Limitations to Arbitration as Means of Dispute Settlement 447

B. Public Policy Limitations to the Applicable Substantive and Procedural Law 455

C. Public Policy Limitations to the Existence and Enforcement of the Arbitral Award 461

D. Public Policy Considerations as Grounds for Vacatur of the Arbitral Award at the Seat of the Arbitration 461

E. Key Issues in Public Policy Limitations on the Validity or Enforcement of Awards 463

Ⅳ. Practical Relevance of Public Policy Considerations at Different Stages of the Arbitration 473

A. Prior to Arbitration 474

B. During Arbitration 475

C. Post-Arbitration 476

Ⅴ. Summary and Practical Considerations 477

CHAPTER 10 Provisional and Final Remedies&John Fellas and Benjamin S. Thompson 479

Ⅰ. Introduction 479

Ⅱ. Preliminary Relief in Intellectual Property Arbitration 479

A. Available Preliminary Relief 481

B. The Scope of the Power of an Arbitral Tribunal to Grant Preliminary Relief 484

C. Court-ordered Preliminary Relief Pending Arbitration 488

D. Requirements for a Grant of Preliminary Relief 491

E. Special Issues Arising in International Intellectual Property Disputes 495

Ⅲ. Final Remedies in Intellectual Property Arbitration 497

A. Injunctive and Declaratory Relief 498

B. Money Damages 503

C. Costs of Arbitration 507

Ⅳ. Conclusion 511

CHAPTER 11 Enforceability&Thierry Calame and Martin Aebi 513

Ⅰ. Introduction 513

Ⅱ. The New York Convention 514

A. Scope of Application of the New York Convention-"Foreign" Arbitral Awards 516

B. Proof of Existence of an International Arbitral Award 518

C. Procedure for Obtaining Recognition and Enforcement of International Arbitral Awards 520

D. Refusal of Recognition and Enforcement 523

Ⅲ. Recognition and Enforcement of Awards Providing for Specific Performance or Permanent Injunctions 535

Ⅳ. Enforceability of Interim Measures 539

Ⅴ. The Preclusive Effect (Res Judicata or Related Principles) of International Arbitral Awards 543

Ⅵ. The Duty of Arbitrators to Render Enforceable Awards 545

Ⅶ. Conclusion 547

TABLE OF AUTHORITIES 551

TABLE OF CASES 571

TABLE OF STATUES 587

INDEX 591