CHAPTER 1-SOME PRELIMINARY CONSIDERATIONS 1
Historical overview 1
Arbitration and other means of dispute resolution 2
Choosing between arbitration and court proceedings 2
Alternative Dispute Resolution 5
The significance of the labels "international" and "commercial" 8
Legal significance - "international" character 8
"Commercial" nature 9
Practical significance 9
Important questions and issues 10
Essentials of arbitration 12
CHAPTER 2-APPLICABLE LAWS AND RULES 15
Introduction 15
Capacity 15
The arbitration agreement 16
The arbitration proceedings 17
The dispute 18
Recognition or enforcement of awards 20
International conventions 20
The Geneva Protocol of 1923 21
The Geneva Convention of 1927 21
The New York Convention of 1958 21
The European Convention on International Commercial Arbitration of 1961 21
The Washington Convention of 1965 22
The Moscow Convention of 1972 22
The Panama Convention of 1975 22
Bilateral treaties 23
The UNCITRAL Arbitration Rules and Model Law 23
The Arbitration Rules 23
The Model Law 24
CHAPTER 3-THE ARBITRATION AGREEMENT 27
Prelude 27
Preliminary matters 27
Institutional arbitration 28
Ad hoc arbitration 30
Creating an enforceable arbitration agreement 30
Enforcing the arbitration agreement 31
Agreement for institutional arbitration 32
The number of arbitrators 33
The place (or "seat") of the arbitration 33
The law applicable to the substance of the disputes 36
The language of the arbitration 36
Miscellaneous matters 36
Agreement for ad hoc arbitration 38
Relevant matters 38
Caveats 39
Multi-party arbitration 39
Introduction 39
Chain contracts 40
The Arbitration Agreement 41
Consortium or partnership contracts 44
Privacy 45
Conclusion 46
Tailpiece 46
CHAPTER 4-THE COMMENCEMENT OF THE ARBITRATION AND THE APPOINTMENT OF THE ARBITRAL TRIBUNAL 47
Introduction 47
Applicable rules and law 47
A dispute 48
The commencement of the arbitration 48
Time limits 49
The appointment of the tribunal 51
The number of arbitrators 51
The manner in which the appointment of arbitrators may be made 51
Selecting the arbitrator to be appointed 54
The role of a party-nominated arbitrator 55
The tribunal's fees and expenses 56
Establishing the entitlement to fees and expenses 56
Securing payment of the tribunal's fees and expenses 57
Removal of arbitrators 58
The circumstances in which removal may be appropriate 58
How an application for removal is to be dealt with 59
The consequences of removal 59
CHAPTER 5-THE JURISDICTION, POWERS AND OBLIGATIONS OF THE TRIBUNAL 61
Sources 61
Jurisdiction 62
Introduction 62
The consequences of absence of jurisdiction 63
What is a party to do if it believes that the tribunal lacks jurisdiction? 63
Partial challenge 64
Challenge to the entire jurisdiction 66
The powers of the tribunal 68
Source and purpose 68
Compliance with the tribunal's directions 69
The tribunal's obligations 70
Source and nature 70
The consequences of, and remedies for, breach of obligation 72
CHAPTER 6-THE PROCEEDINGS 75
Introduction 75
The preliminary meeting 77
Form 77
Timing 78
Preparation 78
Items for the agenda 78
After the preliminary meeting 81
Terms of reference 81
Role 81
Contents 82
Drafting 82
The party which refuses to co-operate 83
The written submissions 83
Differences in approach 83
Institutional requirements 84
Time limits 84
Evidence 85
Technical rules of evidence 85
Burden of proof 86
Documents 86
Witnesses 88
Expert witnesses 89
The hearing 90
Representation at hearings 91
Arrangements for hearings 91
The order of proceedings at the hearing 92
Transcripts 92
Failure by one party to participate 92
The arbitration agreement 93
The law applicable to the arbitration proceedings 93
Ex parte hearings 93
CHAPTER 7-AWARDS 95
Introduction 95
Types of award 95
Interim/interlocutory awards 96
Partial awards 96
Final awards 96
Consent awards 96
Default awards 97
Remedies which may be included in an award 97
Order for the payment of money 97
Declaration 98
Specific performance 98
Injunction 98
Rectification 98
Punitive damages 99
Interest 99
Costs 100
Validity of the award 101
Other requirements for enforcement 103
Approval 103
Communication 103
Registration or deposit 103
Consequences of invalidity 103
CHAPTER 8-RECOGNITION OR ENFORCEMENT OF AWARDS 105
After the award 105
Recognition or enforcement 105
Domestic and foreign awards 106
Where to apply for recognition or enforcement 106
Procedure for recognition or enforcement 108
Time limits 109
CHAPTER 9-RESISTING AWARDS 111
The options 111
Appeal pursuant to the rules of the arbitration 111
Challenge in the courts of the country in which the award was made 112
Relevant matters 112
Nature of relief 112
Timing 112
Form 113
Grounds 113
Security pending the outcome of a challenge 113
Resisting recognition or enforcement of a foreign award 114
Introduction 114
Defences under the New York Convention 114
The consequences of successfully resisting an application for the recognition or enforcement of a foreign award 116
State immunity 117
APPENDIX 1-States which have ratified, or acceded to, the New York Convention of 1958 (as at 30 September 1998) 119
APPENDIX 2-States which have based their arbitration laws on the UNCITRAL Model Law 123
APPENDIX 3-Comparative table of international arbitration rules 124
APPENDIX 4-Model arbitration clauses recommended by the AAA, the ICC andtheLCIA 131
APPENDIX 5-UNCITRAL Model Arbitration Clause 133
APPENDIX 6-Draft ad hoc arbitration clause 135
Index 139