PERVASIVE PROBLENS IN INTERNATIONAL ARBITRATIONPDF电子书下载

Introduction Fundamental Problems in International Arbitration &Julian D.M.Lew QC 1

Part Ⅰ： Arbitration and Policy Issues 9

Chapter 1 Mitsubishi After Twenty Years： Mandatory Rules Before Courts and International Arbitrators &Donald Francis Donovan & Alexander K.A.Greenawalt 11

Ⅰ.Introduction 11

Ⅱ.The Mitsubishi Doctrine 16

1. Background 16

2. The Mitsubishi Decision 19

3. Understanding Mitsubishi 24

Ⅲ.The Courts’ Perspective 30

1. mproper Delegation 30

2. The Waiver Argument 33

3. Arbitration of Mandatory Rules After Mitsubishi 38

Ⅳ.The Arbitrators’ Perspective 42

1. Mandatory Rules and Arbitral Authority 46

2. Application of Mandatory Rules Which Exceed the Parties’ Agreement 53

Chapter 2 Effect of nternational Public Policy in nternational Arbitration &Pierre Maver 61

Ⅰ.Introduction 61

Ⅱ.Notion of Transnational Public Policy 62

Ⅲ.Nature of Transnational Public Policy 63

1. Proposed Analysis 63

2. Consequences of Proposed Analysis 66

Ⅳ.Choice between Reliance on Transnational Public Policy and Application of Mandatory State Rules 67

Chapter 3 Determination and Application of Relevant National and nternational Law and Rules &Catherine Kessedjian 71

Ⅰ.Introduction 71

Ⅱ.Etat des lieux （Inventory） 72

Ⅲ.Hierarchy？ 74

Ⅳ.Role of Conflict of Laws 81

Ⅴ.A Special Note on the Interpretation of Contract 83

Ⅵ.How to Ascertain the Content of the Applicable Law？ 83

Ⅶ.Evolution of Applicable Law Over Time 85

Ⅷ.Extent to Which a Judge May Control the Application of the Law or Rules by the Arbitral Tribunal 85

Chapter 4 The Transparency of International Arbitration： Process and Substance &V.V.Veeder QC 89

Ⅰ.Introduction： Arbitral Confidentiality in Related CourtProceedings 89

Ⅱ.Established Confidentiality 91

Ⅲ.Confidentiality and English Law 93

Ⅳ.Conclusion 101

Chapter 5 Time and Money： Cost Control and Effective Case Management &Klaus Sachs 103

Ⅰ.Introduction 103

Ⅱ.Costs of Arbitration 104

1.Cost Structure of Arbitration 104

2.The Various Methods of Calculating Arbitrator’s Fees 104

（a） Institutional Arbitration 105

（b） UNCITRAL Arbitration Rules 1976 and Ad Hoc Arbitration 108

（c） The Administrative Fees 109

（d） The Comparison between the Different Calculation Methods 109

（e） The Cost of Legal Representation 110

Ⅲ.The Reasons for the Increasing Costs of Arbitration 112

Ⅳ.How to Control and Reduce the Cost of Arbitration 113

Ⅴ.Conclusion 115

Part Ⅱ： National and International Regulation of International Arbitration 117

Chapter 6 Autonomy of International Arbitration Process &Henri Alvarez 119

Ⅰ.Introduction 119

Ⅱ.International Arbitration Procedure 120

Ⅲ.Nomination and Appointment of Arbitrators 127

Ⅳ.Separability and Kompetenz-Kompetenz - Different Approaches to These Questions and Limits 131

Ⅴ.Standards in Respect of Expert Evidence 138

Ⅵ.Conclusions 139

Chapter 7 The Procedural Soft Law of International Arbitration： Non-Governmental Instruments &William W Park 141

Ⅰ.The Challenge of Soft Law 141

Ⅱ.Soft Law and the Arbitral Process 143

1. What Consumers Want： Balancing Fairness and Efficiency 143

2. “Judicialisation” 146

3. Institutional Rules 147

4. Divergent Cultural Baselines 150

5. Secondary Markets for Rules： Illustrating the Impact of Soft Law 152

（a） Who Gets the Last Word？ 153

（b） Ex Parte Measures 153

Ⅲ.Soft Law and the Imperial Arbitrator 153

Chapter 8 The Role of National Courts and Lex Fori in International Commercial Arbitration &Wang Shengchang and Cao Lijun 155

Ⅰ. Lex Fori and Laws to be Applied to an Arbitration 156

1. Three Laws Distinguished 156

2. The Applicable Laws Referred to in the New York Convention 157

3. Arbitration Agreement v.Lex Arbitri 158

Ⅱ.The Judicial Role with Regard to Arbitration Agreement 159

1. The New York Convention and National Legislations 159

2. Stay of the Court Action and Anti-Suit Injunctions in England and the United States 160

3. Upon the Request of a Party？ 162

4. Null and Void， Inoperative or Incapable of Being Performed 163

（a） Meaning of the Terms 163

（b） Which Law to Decide “Null and Void， Inoperative or Incapable of Being Performed”？ 163

（c） The Judicial Review of the Existence， Validity， and Scope of the Arbitration Agreement 164

Ⅲ.The Judicial Role in the Composition of the Tribunal 165

1. Equal Treatment Concern 166

2. Arbitration Agreement and Lex Fori Regarding the Composition of the Tribunal 166

3. The Court’s Role in the Constitution and Reconstitution of the Tribunal 167

Ⅳ.The Judicial Role with Regard to Interim Measures of Protection 168

1. Which Organ to Order Interim Measures， the Court or the Tribunal？ 169

（a） Necessity of Court-Ordered Measures 169

（b） Three Approaches 170

2.Whether Ordering Interim Measures Is in Violation of theAgreement to Arbitrate？ 173

3.Judicial Enforcement of Interim Measures in Support of International Commercial Arbitration 174

（a） Enforcement of Tribunal-Ordered Measures 174

（b） Enforcement of Court-Ordered Measures by the Court of Another Jurisdiction 177

Ⅴ.Court Review of Arbitral Awards 177

1.Two Types of Review and Applicable Laws 177

2.Grounds for Refusing Recognition and Enforcement and Grounds for Setting Aside 178

3.Delocalized Awards 179

4.Enforcement Despite the Existence of a Ground for Refusal 180

（a） Enforcement of an Award In Spite of its Being Set Aside 181

（b） Enforcement Despite Procedural Irregularities 181

Ⅵ.Conclusion 183

Chapter 9 Provisional Measures &Ali Yesilirmak 185

Ⅰ.Introduction 185

Ⅱ.Arbitral Provisional Measures 187

1. Jurisdiction of Arbitrators 188

2. Standards， Principles and Procedures 188

Ⅲ.Complementary Mechanisms 192

1. Emergency Measures from a Head or Organ of an Arbitral Institution 194

2. Emergency Arbitral Provisional Measures Procedures 194

Ⅳ.Enforcement of Arbitral Provisional Measures 196

Ⅴ.Conclusion 200

Chapter 10 Reflections on the Use of Anti-Suit Injunctions in International Arbitration &Emmanuel Gaillard 201

Ⅰ.Introduction 201

Ⅱ.The Varied Use of Anti-Suit Injunctions in International Arbitration 202

Ⅲ.The Inadequacy of Anti-Suit Injunctions in International Arbitration 208

Part Ⅲ： International Arbitration and State Parties 215

Chapter 11 Investment Arbitration and Commercial Arbitration （or the Tale of the Dolphin and the Shark） &Nigel Blackaby 217

Ⅰ.Introduction 217

Ⅱ.The Differences 218

1. Source of the Consent to Arbitrate 218

2. The Amicable Negotiation Period 220

3. Nature of Issues 222

4. Applicable Law 222

5. State Participation 225

6. Transparency 226

7. Publicity of Decisions 227

8. Importance of Lex Arbitri 229

9. International Legal Effect 230

Ⅲ.Similarities 232

Ⅳ.Conclusion 233

Chapter 12 Jurisdiction Challenges in BIT Arbitrations - Do You Read a BIT by Reading a BIT or by Reading into a BIT？ &Matthew Weiniger 235

Ⅰ.Overview 235

Ⅱ.Substance v.Appearance in ICSID Arbitrations 237

Ⅲ.CMS v.Argentina 240

Ⅳ.SGS v.Pakistan 244

Ⅴ.SGS v.Philippines 247

Ⅵ.Tokios Tokeles v.Ukraine 250

Ⅶ.Conclusion 254

Chapter 13 Interpretation of Treaties： How Do Arbitral Tribunals Interpret Dispute Settlement Provisions Embodied in Investment Treaties？ &Gabrielle Kaufmann-Kohler 257

Ⅰ.The Question： How to Approach It and Why It Is Relevant 257

Ⅱ.A Reminder： Basics of Treaty Interpretation 258

1. The Vienna Convention 258

2. A Comparison with Contract Interpretation 260

Ⅲ.The Application of Treaty Interpretation Rules to Dispute Settlement Provisions in Investment Treaties 262

1. Treaty v.Contract Claims 262

2. “Disputes with Respect to Investments” 265

3. Umbrella Clause 267

4. Most Favoured Nation Clause 269

Ⅳ.The Answer： Consistent and Other Solutions， and Possible Remedies 271

1. Consistent Solutions 272

2. Divergent Solutions due to Different Treaty Provisions 272

3. Remaining nconsistencies and Remedies 273

Part Ⅳ： International Arbitration and Third Parties 279

Chapter 14 Groups of Companies in International Arbitration &Bernard Hanotiau 279

Ⅰ.Introduction 279

Ⅱ.Leading Cases 282

Ⅲ.Tentative Conclusions 285

Ⅳ.Peterson Farms 288

Chapter 15 The Impact of Third Parties on International Arbitration - Issues of Assignment&Stephen Jagusch and Anthony Sinclair 291

Ⅰ.Introducto Remarks 291

1. Kompetenz-Kompetenz 292

2. The Importance （and Problem） of Consent 292

3. Particular ICSID and Other Investor-State Issues 295

Ⅱ.Contractual Pennissions and Restrictions 298

Ⅲ.Relevant Laws 300

Ⅳ.Pending Arbitrations 311

Ⅴ.Assignment and the Burden of an Arbitration Agreement 313

Ⅵ.Conclusion 318

Chapter 16The Amicus Role in International Arbitration Paul Friedland 321

Ⅰ.Amicus Curiae Fringe or Mainstream 321

1. Methanex v.United States 322

2. UPS v.Canada 324

3. NAFTA and ICSID 324

Ⅱ.Differential Impact on the Arbitrating Parties 328

Chapter 17Parallel Proceedings， Res Judicata and Lis Pendens： Problems and Possible Solutions &Norah Gallagher 329

Ⅰ.Introduction 329

Ⅱ.Parallel Proceedings 331

1. Introductory Remarks 331

2. The Czech Republic Arbitrations 333

Ⅲ.The Principles of Res Judicata and Lis Pendens 334

1. Res Judicata 335

2. Lis Pendens 338

Ⅳ.Application of Doctrines in Recent International Cases 340

Ⅴ.Possible Solution to the Current Problems 347

Ⅵ.Conclusion 355

Chapter 18 Arbitration and Insolvency Proceedings - Selected Problems &Stefan M.Kroll 357

Ⅰ.Introduction 357

Ⅱ.Overview of the Basic Principles and Features of Insolvency Law 359

Ⅲ.Possible Areas of Conflict 360

Ⅳ.The Binding Force of Insolvency Provisions for Courts and Tribunals 361

Ⅴ.Introducto.Effects of the Exclusive Jurisdiction and Mandatory Stay Provisions on Arbitration 363

l .The Effects on Objective Arbitrability 363

（a） The American View 364

（b） Arbitrability According to the European Views 367

2. Other Restrictions Imposed in Connections with the “Collective Procedure Principles” 368

（a） Filing Requirements and Temporary Stays 368

（b） Limitations on the Remedies Available 369

Ⅵ.Effects of “Divestment and Substitution” Provisions on Arbitration 370

l.Effects on the Tribunal’s Jurisdiction： The Personal Scope of the Agreement 370

（a） Debtor Derived Claims 370

（b） Non Debtor Derived Claims 371

2. Effects on Arbitration Proceedings 372

Ⅶ.Effects of Trustee’s Statutory Powers to Avoid ExecutoryContracts on Arbitration 373

Ⅷ.Arbitration Practice 374

Ⅸ.Conclusion 376

Subject Index 377