国际商事仲裁 英文版PDF电子书下载

Chapter 1 Introduction 1

1 International commercial arbitration in brief 1

1.1 The definition of international commercial arbitration 1

1.2 The characteristics of international commercial arbitration 2

1.3 A historical review of international commercial arbitration 3

2 Merits and demerits of international commercial arbitration 5

2.1 Merits of international commercial arbitration 6

2.2 Demerits of international commercial arbitration 7

3 Foundations of international commercial arbitration 9

3.1 The agreement to arbitrate 9

3.2 The choice of arbitrators 10

3.3 The award of the arbitral tribunal 10

3.4 The enforcement of the award 11

4 The kinds of international arbitration 11

4.1 Institutional arbitration 11

4.2 Ad hoc arbitration 12

4.3 Institutional and ad hoc arbitration contrasted 12

5 Sources of international commercial arbitration 13

5.1 Introduction 13

5.2 International treaties and conventions 14

5.3 National laws 20

Explanatory Notes 24

Exercises 28

Chapter 2 An Overview of Leading International Arbitration Institutions 29

1 Introduction 29

1.1 The attraction of institutional arbitration 29

1.2 The points ofattention 30

2 The leading international arbitration institutions 31

2.1 Introduction 31

2.2 International Chamber of commerce's International Court of Arbitration(ICC) 31

2.3 London Court of International Arbitration 33

2.4 The American Arbitration Association 33

2.5 The Arbitral Centre of the World Intellectual Property Organization 34

2.6 The Arbitration Institute of the Stockholm Chamber of Commerce 35

2.7 Singapore International Arbitration Centre 35

2.8 Hong Kong International Arbitration Centre 35

2.9 International Center for Settlement of Investment Disputes 36

2.10 China International Economic and Trade Arbitration Commission 36

Explanatory Notes 38

Exercises 41

Chapter 3 The Arbitration Agreement 43

[Case Analysis] 44

1 Introduction 49

1.1 The legal definition 49

1.2 The categories of arbitration agreement 49

2 The classifications of an international arbitration agreement 50

2.1 The submission agreement 50

2.2 The arbitration clause 51

3 The basic elements of an arbitration agreement 53

3.1 Introduction 53

3.2 The intention to arbitrate 53

3.3 Ad hoc or institutional arbitration 53

3.4 Place of arbitration 54

3.5 The number of arbitrators 54

3.6 Governing law of the arbitration 54

3.7 Default clauses 55

3.8 Other procedural matters 55

4 The validity of an arbitration agreement 56

4.1 Introduction 56

4.2 Formal validity 57

4.3 A defined legal relationship 59

4.4 The element of arbitrability 60

5 The separability of the international arbitration agreement 66

5.1 Introduction 66

5.2 The history and legal nature of the doctrine of separability 67

5.3 The legal significance of the separability doctrine 69

6 The legal consequences of the arbitration agreement 70

6.1 Introduction 70

6.2 Positive effects of the arbitration agreement 70

6.3 Negative effects of the arbitration agreement 72

Explanatory Notes 73

Exercises 76

Chapter 4 Applicable Laws in International Commercial Arbitration 79

[Case Analysis] 80

1 Introduction 83

1.1 The cause of applicable laws in international commercial arbitration 83

1.2 The complexities of applicable laws 84

2 The application of the doctrine of lex arbitri 84

2.1 Introduction 84

2.2 The doctrine of lex arbitri 85

3 The law applicable to the substantive issues 88

3.1 Introduction 88

3.2 The autonomy of the parties 88

4 The law governing the arbitration agreement 90

4.1 Introduction 90

4.2 Alternatives of law governing arbitration ageement 91

5 The conflict of laws in arbitration 92

5.1 Introduction 92

5.2 The choice of the conflict of laws 92

Explanatory Notes 94

Exercises 96

Chapter 5 The Arbitral Tribunal 99

[Case Analysis] 100

1 The establishment of an arbitral tribunal 102

1.1 Introduction 102

1.2 Commencement of an arbitration 103

1.3 Establishing an arbitral tribunal 104

2 Arbitrators in international commercial arbitration 105

2.1 Appointment of arbitrators 105

2.2 Qualities required of arbitrators in international commercial arbitration 108

2.3 Impartiality and independence of arbitrators 110

2.4 Challenge and replacement of arbitrators 116

3 Powers and duties of an arbitral tribunal 119

3.1 Introduction 119

3.2 Powers of arbitrators 120

3.3 Duties of arbitrators 122

4 Jurisdiction of an arbitral tribunal and challenges thereto 126

4.1 Introduction 126

4.2 Challenges to jurisdiction 126

4.3 Respondent's choices for challenge 129

4.4 The arbitral tribunal's responses to challenges 129

Explanatory Notes 131

Exercises 134

Chapter 6 The Arbitral Proceedings 137

[Case Analysis] 138

1 Introduction 140

1.1 The arbitral proceedings in general 140

1.2 Adversarial or inquisitorial? 141

1.3 The control over arbitral proceedings 142

1.4 Party autonomy in arbitral proceedings 143

1.5 Written submissions in arbitral proceedings 145

2 Place of arbitration 146

2.1 Introduction 146

2.2 The legal environment of the place of arbitration 147

2.3 The principle of lex arbitri 148

2.4 Enforceability of arbitral awards 148

2.5 Change of the seat of arbitration 148

3 Evidence in arbitral proceedings 149

3.1 Introduction 149

3.2 Evidences in civil and common law jurisdictions 149

3.3 Admissibility of evidences 150

3.4 Burden of proof 151

3.5 Documents production 151

3.6 Witness testimony 153

3.7 Expert evidence 154

3.8 Inspection of the subject-matter 156

4 Arbitral hearings 157

4.1 Introduction 157

4.2 Arrangement of arbitral hearings 158

4.3 Hearing procedures 159

4.4 Examination of witnesses 160

4.5 Ex parte hearings 161

5 Post-hearing proceedings 162

5.1 Introduction 162

5.2 New evidence 162

5.3 Post-hearing briefs 162

6 Arbitration Costs 163

6.1 Introduction 163

6.2 Payment of costs 163

6.3 Costs security 164

Explanatory Notes 165

Exercises 166

Chapter 7 Interim Measures in International Commercial Arbitration 169

[Case Analysis] 170

1 Introduction 173

1.1 Interim measures defined 173

1.2 The usefulness of interim measures 174

1.3 The practical importance of interim measures 175

2 Different types of interim measures 176

2.1 Interim measures for the prevention of irreparable harm 176

2.2 Interim measures for the preservation of evidence 177

2.3 Interim measures for facilitating the production of evidence 178

2.4 Interim measures for facilitating the enforcement of the award 178

3 Arbitrators'authority to order interim measures 179

3.1 Introduction 179

3.2 Interim measures in international arbitration conventions 179

3.3 Interim measures provided for in nationallaws 179

3.4 Interim measures provided for by institutional arbitration rules 180

3.5 The practical difficulties of providing interim measures 182

4 Interim measures ordered by national courts in aid of international commercial arbitration 183

4.1 Introduction 183

4.2 The New York Convention 183

4.3 Applicable national laws 184

5 Enforcement of interim measures in international commercial arbitration 185

5.1 Introduction 185

5.2 International sources 186

5.3 Judicial enforcement of interim measures 187

Explanatory Notes 188

Exercises 189

Chapter 8 The Arbitration Award 191

[Case Analysis] 192

1 Introduction 194

1.1 Arbitration award defined 194

1.2 The importance of arbitration awards 196

1.3 Final awards 198

1.4 Partial and interim awards 199

1.5 Default awards 200

1.6 Consent awards 201

2 Elements of an valid arbitration awards 201

2.1 Form of the award 202

2.2 Language of the award 203

2.3 Contents of the award 203

2.4 Award reasons 204

2.5 Time-limits for award to be made 205

2.6 Notification of awards 206

2.7 Registration of awards 207

2.8 The principle of resjudicata 207

3 The process of arriving at awards 208

3.1 Introduction 208

3.2 The usual process of making an award 208

3.3 Majority voting 209

3.4 The bargaining process in award-making 210

4 Remedies offered in awards 211

4.1 Monetary compensation or damages 211

4.2 Punitive damages and other penalties 211

4.3 Specific performance 212

4.4 Injunctions 212

4.5 Restitution 212

4.6 Declaratory relief 213

4.7 Adaptation of contracts 213

4.8 Interest and costs 214

5 Miscellaneous matters after the award is made 214

5.1 Correction of clerical errors 214

5.2 The interpretation of an award 215

5.3 Review other than by national courts 216

Explanatory Notes 217

Exercises 219

Chapter 9 Challenge to Arbitral Awards 221

[Case Analysis] 222

1 Introduction 225

1.1 An overview 225

1.2 The legal definition of challenge 225

1.3 The possibilities of challenge 225

1.4 The purpose of challenge 226

1.5 The legal barriers to a challenge 226

1.6 Time-limits for challenge 227

1.7 Place of challenge 228

1.8 The effects of a successful challenge 229

2 The channels of challenge 229

2.1 Challenge to arbitral awards from within 229

2.2 Correction and interpretation of awards 230

2.3 Challenge of arbitral awards in national courts 231

3 Substantive Grounds for Challenge 232

3.1 Introduction 232

3.2 Challenge for mistake of fact 232

3.3 Challenge for mistake of law 233

4 Procedural grounds for challenge 236

4.1 Challenge for lack of jurisdiction 236

4.2 Challenge for lack of due process 238

4.3 Challenge for lack of capacity 239

4.4 Challenge for defective formation of arbitral tribunal 239

4.5 Challenge for lack of arbitrability 240

4.6 Challenge for public policy 240

4.7 Challenge for lack of independence,bias,and misconduct of the Arbitrators 243

Explanatory Notes 243

Exercises 245

Chapter 10 Recognition and Enforcement of International Arbitration Awards 247

[Case Analysis] 248

1 Introduction 252

1.1 The result of a successful arbitration 252

1.2 Performance of awards 253

2 The legal principles of recognition and enforcement of arbitral awards 254

2.1 Introduction 254

2.2 Recognition defined 255

2.3 Enforcement defined 255

2.4 Various means of recognition and enforcement 256

2.5 Place of recognition and enforcement 257

2.6 Forum shopping 257

2.7 Refusal of recognition or enforcement 258

3 The New York Convention and others 258

3.1 Introduction 258

3.2 The Geneva treaties 259

3.3 The New York Convention 259

4 Grounds for refusal of recognition and enforcement 261

4.1 Introduction 261

4.2 Refusal for incapacity and invalid arbitration agreement 263

4.3 Refusal for lack of due process 263

4.4 Refusal for jurisdictional defects 264

4.5 Refusal for defective constitution of tribunal or procedure 265

4.6 Refusal for award not binding or suspended or set aside 266

4.7 Refusal for lack of arbitrability 266

4.8 Refusal for public policy or public order 267

5 Enforcement under other treaties or local law 268

5.1 Introduction 268

5.2 The practical significance 269

5.3 Enforcement of international award as a domestic award 269

5.4 Enforcement of international award as an obligation 269

Explanatory Notes 270

Exercises 271

参考书目 273