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Oxford Law Citator
Contents
Expand All
Collapse All
Preliminary Material
Foreword
Contents
Table of Cases
Table of Arbitral Decisions and Awards
Table of European and International Court Decisions
Table of Legislation
Notes on the Contributors
List of Abbreviations
Main Text
The Chartered Institute of Arbitrators (1915–2015)
Part I International Arbitration Law, Arbitral Jurisdiction, and Arbitral Institutions
1 Explaining Arbitration Law
A Introduction
(a) A framework for avoiding courts
1.01
(b) Regretted decisions
1.02
1.03
1.04
1.05
1.06
1.07
1.08
1.09
(c) Hard law and soft law
1.10
1.11
1.12
1.13
B From General to Specific
(a) A New Zealand vignette
1.14
1.15
1.16
1.17
(b) The ‘procedural fairness’ model of arbitration
1.18
1.19
1.20
1.21
(c) Annulled awards: convergence and conflict
1.22
1.23
1.24
1.25
1.26
1.27
C Two Case Studies
1.28
(a) Who decides what?
1.29
1.30
1.31
1.32
1.33
(b) What law applies?
1.34
1.35
1.36
1.37
D Shifting Images of Arbitration
1.38
1.39
1.40
1.41
1.42
1.43
E Conclusion
1.44
1.45
2 Experiences and Suggestions Regarding the Functioning of International Arbitration Institutions
A Introduction
2.01
2.02
2.03
B General Aspects on the Role of Arbitral Institutions
(a) Institutional v ad hoc arbitration
2.04
2.05
2.06
2.07
2.08
(b) Different roles of arbitral institutions
2.09
2.10
2.11
2.12
2.13
2.14
2.15
2.16
2.17
C Personal Experiences in Some Institutions
2.18
(a) The Iran–United States Claims Tribunal
2.19
2.20
2.21
(b) The LCIA
2.22
2.23
2.24
(c) The DIS
2.25
2.26
2.27
D Some Suggestions to Improve Efficiency
2.28
(a) Efficient staff at the institution
2.29
(b) Flexibility of the procedure within the framework of the rules
2.30
(c) Informal exchange with the institution
2.31
(d) Involve the parties beyond what is mandatory
2.32
E Conclusion
2.33
2.34
3 The New 2014 LCIA Rules: An Introductory Explanation
A Introduction
3.01
B The LCIA Rules
(a) A modest beginning
3.02
3.03
3.04
3.05
3.06
(b) The 2014 Rules
3.07
3.08
3.09
3.10
3.11
3.12
C The Start of an LCIA Arbitration
(a) Commencing proceedings
3.13
3.14
3.15
3.16
3.17
3.18
(b) Article 9A—expedited formation of tribunal
3.19
3.20
3.21
3.22
(c) Article 9B—emergency arbitrator
3.23
3.24
3.25
3.26
3.27
3.28
(d) Arbitral seat
3.29
3.30
(e) Multiparty, etc, disputes
3.31
3.32
3.33
(f) The Slovenia problem
3.34
3.35
3.36
(g) General guidelines
3.37
3.38
3.39
3.40
3.41
3.42
3.43
3.44
(h) The Jivraj problem
3.45
3.46
3.47
(i) The West Tankers problem
3.48
3.49
3.50
(j) Avoiding unnecessary delay and expense
3.51
D Conclusion
3.52
3.53
Part II Understanding the Users of International Arbitration
4 Putting the Client First
A Introduction
4.01
4.02
4.03
4.04
4.05
4.06
4.07
4.08
4.09
4.10
B Client-Ccentred Processes
4.11
4.12
4.13
4.14
4.15
4.16
4.17
4.18
C Reducing Time and Cost
4.19
4.20
(a) Case management conferences
4.21
4.22
4.23
(b) Historical advantages of arbitration
4.24
4.25
4.26
4.27
4.28
4.29
4.30
4.31
(c) A compromise approach
4.32
4.33
4.34
4.35
4.36
4.37
4.38
4.39
D Challenges
4.40
4.41
4.42
4.43
4.44
4.45
4.46
4.47
4.48
4.49
4.50
4.51
4.52
4.53
4.54
4.55
4.56
4.57
4.58
4.59
4.60
4.61
4.62
4.63
4.64
4.65
4.66
E Conclusion
4.67
4.68
4.69
4.70
5 How Easy is it not to Take Adequate Care of the Proper Expectations of the Parties?
A Introduction
5.01
B Common Problems
(a) Not allowing sufficient time to the proceedings
5.02
(b) Not allowing the parties to adequately present their case
5.03
5.04
(c) The temptation to rush
5.05
5.06
(d) Effects of disliking counsel
5.07
(e) A formalistic approach
5.08
5.09
(f) Lack of a full de novo review
5.10
5.11
C Conclusion
5.12
5.13
5.14
Part III International Arbitration Agreements: Issues and Perspectives
6 Some Reflections on the Making of International Arbitration Agreements for the Resolution of Commercial Disputes
A Introduction
6.01
B The New York Convention
6.02
6.03
6.04
6.05
C Arbitration Agreements
(a) Contract clauses
6.06
(b) Submission agreements
6.07
6.08
6.09
D The Role of Institutions
6.10
6.11
6.12
6.13
E The Role of Law
6.14
(a) The English Arbitration Act 1996
6.15
(b) The Model Law
6.16
6.17
F Disadvantages to Arbitration
6.18
6.19
6.20
6.21
6.22
6.23
G Conclusion
6.24
6.25
6.26
6.27
6.28
6.29
7 Arbitrability Decisions Before, During, and After Arbitration
A Introduction
7.01
7.02
(a) Defining the term
7.03
7.04
7.05
7.06
(b) Substantive arbitrability (jurisdiction) and procedural arbitrability (admissibility)
7.07
7.08
7.09
7.10
B Stage One: Arbitrability
7.11
(a) Separability
7.12
7.13
7.14
7.15
(b) The negative effect of kompetenz - kompetenz
7.16
7.17
7.18
(c) The US approach to the negative effect of kompetenz - kompetenz
7.19
7.20
7.21
7.22
7.23
7.24
(d) The French approach to the negative effect of kompetenz - kompetenz
7.25
7.26
7.27
7.28
7.29
C Stage Two: Arbitrability Before the Arbitrators
7.30
7.31
7.32
7.33
7.34
7.35
7.36
D Stage Three: Arbitrability at Award Enforcement
(a) Setting aside
7.37
7.38
7.39
7.40
7.41
7.42
7.43
(b) Recognition and enforcement
(1) Non-arbitrable subject matter
7.44
(2) Formal validity
7.45
7.46
(3) Substantive validity
7.47
7.48
(4) Non-existence of the agreement
7.49
(5) Scope
7.50
(6) Procedural arbitrability (admissibility)
7.51
E Conclusion
7.52
8 The Dangers of Neglect: Governing Law of Arbitration Agreements
A Introduction
8.01
B Model Clauses
(a) Institutional examples
8.02
8.03
8.04
8.05
8.06
8.07
(b) Moving beyond the ‘midnight clause’
8.08
8.09
8.10
C Determining the Correct Law
(a) Mending the omission
8.11
8.12
8.13
(b) Why it matters?
8.14
8.15
8.16
8.17
8.18
8.19
8.20
8.21
8.22
8.23
(c) The SulAmérica test
8.24
8.25
8.26
8.27
(d) The ‘Lord Mustill’ approach
8.28
8.29
8.30
8.31
8.32
8.33
8.34
8.35
(e) The ‘Justice Spigelman’ approach
8.36
8.37
8.38
8.39
(f) The ‘Gary Born’ approach
8.40
8.41
8.42
8.43
8.44
8.45
8.46
8.47
D Conclusion
8.48
8.49
8.50
9 The Law Governing the Arbitration Agreement: A Transnational Solution?
A Introduction
9.01
9.02
9.03
9.04
B The Need for a Separate Enquiry into the Law Governing the Arbitration Agreement
9.05
9.06
9.07
9.08
9.09
9.10
9.11
9.12
9.13
9.14
C The First Candidate Approach: the Law Applicable to the Main Contract
9.15
9.16
9.17
9.18
9.19
9.20
9.21
9.22
9.23
D The Second Candidate Approach: the Law of the Seat
9.24
9.25
9.26
9.27
9.28
9.29
E The Third Candidate Approach: Transnational Rules
9.30
9.31
9.32
9.33
9.34
9.35
9.36
9.37
9.38
F Conclusion
9.39
9.40
10 Silent Talk: Identifying the Language of an Arbitration When the Arbitration Clause Is Silent
A Introduction
10.01
10.02
B The ‘Language of the Arbitration’ and Its Importance
10.03
(a) What does ‘language’ mean?
10.04
10.05
(b) Identifying the language
10.06
10.07
10.08
10.09
10.10
10.11
10.12
C The Choice of Language
10.13
10.14
10.15
10.16
10.17
D Potential Indicia in the Exercise of the Tribunal’s Discretion
10.18
(a) Priorities and presumptions
10.19
10.20
(b) The law applicable to the contract
10.21
10.22
10.23
10.24
(c) The language of the seat
10.25
(d) The language of the evidence and other indicia
10.26
10.27
(e) The language of witnesses
10.28
10.29
10.30
(f) Equal treatment
10.31
10.32
10.33
10.34
E Practical Solutions
10.35
10.36
F Conclusion
10.37
10.38
Part IV Arbitral Procedure and Procedural Misdemeanour
11 Is International Arbitration Becoming Too Confrontational and Counter-Intuitive? And Some Guidelines as to How Not to Irritate a Tribunal!
A Introduction
11.01
11.02
11.03
B Consensus
11.04
11.05
11.06
11.07
11.08
11.09
C Why Should the Arbitral Process Be Consensual and not Confrontational?
11.10
11.11
11.12
D The Causes of the Problem
(a) A ‘one-stop shot at success’
11.13
11.14
(b) Unfamiliar practitioners
11.15
(c) Different cultural expectations
11.16
(d) Reluctant tribunals
11.17
11.18
11.19
E The Right Direction?
11.20
11.21
11.22
11.23
11.24
F Counter-Productive Advocacy and Presentation
11.25
(a) Unmeritorious tactical applications
11.26
(b) A reluctance to agree
11.27
(c) The nature of hearings
11.28
(d) Poor presentation
11.29
G The Way Forward
11.30
11.31
11.32
(a) Oral advocacy
11.33
(b) Document presentation
11.34
H Conclusion
11.35
12 Procedural Efficiency in International Commercial Arbitration: Building It into the Process
A Introduction
(a) Apologia and caveat
12.01
12.02
12.03
12.04
(b) The ‘least worst’ alternative
12.05
12.06
(c) Best practices
12.07
12.08
(d) Advantages of arbitration
12.09
12.10
12.11
12.12
12.13
12.14
B Procedural Options in Clause Drafting
12.15
(a) Appointing a sole arbitrator
12.16
12.17
12.18
12.19
12.20
12.21
12.22
(b) Expedited arbitration
12.23
12.24
12.25
12.26
12.27
12.28
12.29
12.30
12.31
12.32
12.33
(c) Summary dismissal
12.34
12.35
12.36
12.37
12.38
12.39
12.40
12.41
12.42
12.43
12.44
12.45
C Conclusion
12.46
13 Ethics in Arbitration: Party and Arbitral Misconduct
A Introduction
13.01
13.02
13.03
13.04
B Party Misconduct
(a) The nature and extent of the guerrilla tactics
13.05
13.06
13.07
(b) How tribunals combat misconduct
13.08
13.09
13.10
(c) The use of inherent powers
13.11
13.12
13.13
13.14
(d) The IBA Guidelines on Party Representation
13.15
13.16
13.17
13.18
13.19
(e) The LCIA Rules
13.20
13.21
13.22
13.23
C Arbitral Misconduct
(a) Who regulates the arbitrators?
13.24
13.25
13.26
13.27
(b) The CIArb disciplinary procedures
13.28
13.29
D Conclusion
13.30
13.31
13.32
Part V Emergency Arbitrators and Interim Relief
14 Emergency Arbitrators and Court-Ordered Interim Measures: Is the Choice Important?
A Introduction
14.01
14.02
14.03
14.04
B Emergency Arbitrator Provisions in Institutional Rules
14.05
14.06
14.07
14.08
14.09
C The Choice between Emergency Arbitration and Court-Ordered Interim Measures
14.10
14.11
14.12
14.13
D Are Emergency Arbitrator Provisions Really Useful?
14.14
(a) Definition of ‘emergency’
14.15
14.16
14.17
14.18
14.19
14.20
14.21
(b) The market’s appetite for emergency arbitrators
14.22
14.23
14.24
14.25
14.26
(c) Enforceability issues
14.27
14.28
14.29
14.30
14.31
14.32
E Evaluating the Choice
14.33
14.34
14.35
14.36
F Conclusion
14.37
15 Legal Standards Applicable to Deciding Applications for Interim Relief
A Introduction
15.01
15.02
15.03
15.04
B Arbitral Rules and Leges Arbitri
15.05
15.06
15.07
15.08
15.09
15.10
15.11
15.12
C Harm, Urgency … and Other Factors
15.13
15.14
(a) Harm and urgency
15.15
15.16
15.17
15.18
15.19
15.20
15.21
15.22
15.23
(b) Other factors
15.24
15.25
15.26
15.27
15.28
D Conclusion
15.29
Part VI Discovery and Document Production
16 Discovery in Arbitration: Can Parties Use 28 USC § 1782 to Circumvent the Process Ordered by the Arbitral Tribunal?
A Introduction
16.01
16.02
16.03
B Conflict Resolution: the Hard Line
16.04
16.05
C The Functional Approach
16.06
16.07
D Deference-Plus?
16.08
16.09
16.10
16.11
16.12
E Conclusion
16.13
17 Meeting the Requirements of Article 3(3) of the IBA Rules: Recommendations for Successful Requests for Document Production
A Introduction
17.01
17.02
17.03
B The Requirement to Identify Individual Documents or Limited Categories with Sufficient Specificity
17.04
17.05
17.06
17.07
17.08
17.09
17.10
17.11
17.12
17.13
17.14
17.15
17.16
17.17
C The Requirement to Explain the Relevance of the Documents to Disputed Issues and Their Consequence on the Outcome of the Case
17.18
17.19
17.20
17.21
17.22
17.23
17.24
17.25
D The Requirement to Address Possession, Custody, and Control
17.26
17.27
17.28
17.29
17.30
17.31
17.32
17.33
17.34
E Conclusion
17.35
Part VII Witnesses and Perjury
18 Cross-Examination of Fact Witness Statements in International Arbitration
A Introduction
18.01
B Fact Witnesses
(a) Witness statements
18.02
18.03
18.04
18.05
(b) Assessing harm
18.06
18.07
18.08
18.09
18.10
18.11
18.12
(c) Cross-examination
18.13
18.14
18.15
18.16
18.17
18.18
C Taking the Process Seriously
18.19
18.20
18.21
18.22
18.23
18.24
D Conclusion
18.25
18.26
19 The Expert Witness in International Arbitration
A Introduction
19.01
B Party and Tribunal-Appointed Experts
19.02
19.03
19.04
19.05
19.06
19.07
C The Function of the Expert Witness in International Arbitration
19.08
19.09
19.10
19.11
19.12
19.13
D The Challenge of Expert Witnesses
19.14
19.15
19.16
E The Rise of the So-Called Star Expert
19.17
19.18
19.19
19.20
F Conclusion
19.21
19.22
20 Oaths and Perjury
A Introduction
20.01
20.02
20.03
20.04
20.05
20.06
20.07
B Oaths Act
20.08
20.09
20.10
20.11
20.12
20.13
20.14
C Perjury Act
20.15
20.16
20.17
20.18
20.19
20.20
20.21
20.22
20.23
20.24
20.25
20.26
20.27
D The English Arbitration Act 1996
20.28
20.29
20.30
20.31
E Arbitral Procedural Rules
20.32
20.33
20.34
20.35
20.36
20.37
20.38
F Other Jurisdictions
20.39
20.40
20.41
20.42
20.43
G Conclusion
20.44
Part VIII Arbitrators’ Decision-Making Power and Arbitral Tribunals’ Cessation of Functions
21 Inherent and Implied Powers of Arbitrators
A Introduction
(a) Agreement-based powers
21.01
21.02
21.03
(b) Sunshine and shadow
21.04
21.05
21.06
B Definitions
(a) Inherent and implied powers
21.07
21.08
21.09
21.10
(b) A useful distinction?
21.11
21.12
21.13
21.14
21.15
21.16
21.17
21.18
C Implied Powers
(a) Scope
21.19
21.20
(b) Limitations
21.21
21.22
D Inherent Powers
21.23
(a) Fulfilling its adjudicatory function
21.24
21.25
(b) Imposing sanctions
21.26
21.27
21.28
21.29
(c) Disqualifying counsel
21.30
21.31
21.32
21.33
(d) Limitations of power
21.34
21.35
21.36
21.37
E Conclusion
21.38
21.39
21.40
21.41
21.42
22 Good (and Bad) Initiatives of Arbitrators: Where to Draw the Line between Activism and Passivity?
A Introduction
22.01
22.02
22.03
22.04
22.05
B Legal Basis and Sources of the Arbitrators’ Power to Take Initiatives
(a) Initiatives to establish the facts and to collect evidence
22.06
22.07
22.08
22.09
22.10
22.11
22.12
22.13
22.14
22.15
22.16
22.17
22.18
22.19
22.20
22.21
22.22
22.23
22.24
22.25
22.26
22.27
22.28
22.29
22.30
22.31
22.32
22.33
22.34
22.35
22.36
22.37
22.38
22.39
22.40
(b) Initiatives to ascertain and to apply the law
22.41
22.42
22.43
22.44
22.45
22.46
22.47
22.48
C Exercise of the Arbitrators’ Discretion
22.49
22.50
22.51
22.52
22.53
(a) Agreement of the parties
22.54
(b) The parties’ expectations
22.55
(c) Legal background of the parties
22.56
22.57
(d) Nature of the arbitration
22.58
(e) Expertise of the arbitrator
22.59
22.60
22.61
22.62
(f) The parties’ procedural experience
22.63
22.64
22.65
(g) Procedural efficiency
22.66
22.67
22.68
22.69
(h) Procedural fairness
22.70
22.71
22.72
(i) Issues pertaining to public policy or raising matters of public interest
22.73
22.74
22.75
22.76
(j) Default proceedings
22.77
22.78
22.79
(k) Different standards for initiatives as to both the facts and law
22.80
22.81
22.82
D Initiatives to Clarify or to Correct the Parties’ Request
22.83
E Conclusion
22.84
23 The Law is what the Arbitrator had for Breakfast: How Income, Reputation, Justice, and Reprimand Act as Determinants of Arbitrator Behaviour
A Introduction
23.01
23.02
(a) An intuitive sense of right and wrong
23.03
23.04
23.05
(b) Incentives and constraints
23.06
23.07
23.08
23.09
(c) Behavioural determinants
23.10
23.11
23.12
23.13
23.14
23.15
B Income
(a) Lessons from the judiciary
23.16
23.17
(b) Influencing market value
23.18
23.19
23.20
23.21
23.22
23.23
23.24
(c) Social capital
23.25
23.26
23.27
23.28
(d) Specialization
23.29
23.30
23.31
(e) Increasing income
23.32
23.33
23.34
23.35
23.36
23.37
23.38
23.39
23.40
23.41
23.42
23.43
23.44
C Reputation, Fame, and Prestige
23.45
(a) Reputation
23.46
23.47
(b) Fame
23.48
23.49
23.50
23.51
23.52
(c) Prestige
23.53
23.54
23.55
23.56
23.57
23.58
23.59
(d) A changing view?
23.60
23.61
23.62
23.63
23.64
23.65
23.66
23.67
D Doing Justice
23.68
(a) Changing the world
23.69
23.70
23.71
(b) Community stakes
23.72
23.73
23.74
23.75
23.76
(c) Ways to do justice
23.77
23.78
23.79
23.80
23.81
23.82
E Avoiding Reprimand by an Annulment or Denial of Enforcement
23.83
23.84
23.85
23.86
23.87
23.88
F Conclusion
23.89
23.90
23.91
23.92
23.93
23.94
24 Functus Officio?
A Introduction
24.01
24.02
24.03
24.04
B Functus Officio and Finality
24.05
24.06
24.07
24.08
24.09
24.10
24.11
24.12
24.13
24.14
24.15
24.16
C Functus or Defunct: Do Tribunals ‘Return from the Dead’?
24.17
24.18
24.19
D Remand: The Award Returned
24.20
24.21
24.22
24.23
24.24
24.25
24.26
24.27
24.28
E Hussman : Reconstitution Without Remand
24.29
24.30
24.31
24.32
24.33
24.34
F Functus Officio and Settlement
24.35
24.36
24.37
24.38
24.39
24.40
G Conclusion
24.41
24.42
24.43
24.44
24.45
Part IX Costs, Funding, and Ideas for Optimization
25 The Harmonization of Costs Practices in International Arbitration: The Search for the Holy Grail
A Introduction
25.01
25.02
25.03
25.04
25.05
25.06
25.07
25.08
B Some Preliminary Observations as to Costs
25.09
25.10
25.11
25.12
25.13
25.14
C Discretion and Principles
25.15
25.16
25.17
25.18
25.19
(a) Success/outcome as the primary factor for the exercise of discretion
25.20
25.21
25.22
25.23
25.24
25.25
25.26
25.27
(b) Conduct in the proceedings as an important subsidiary factor
25.28
25.29
25.30
25.31
25.32
25.33
25.34
25.35
(c) Trends identified in academic and scholarly writing
25.36
25.37
25.38
25.39
D Complicating and Ancillary Issues
25.40
(a) Offers of settlement and security for costs
25.41
25.42
25.43
(b) Agreements as to costs
25.44
E Conclusion
25.45
25.46
25.47
25.48
Appendix
Protocol as to Costs
Conduct
Offers of settlement
Awarding costs at the conclusion of the proceedings
26 The Costs and Funding of International Arbitration
A Introduction
26.01
26.02
26.03
26.04
B The Costs of International Arbitration
26.05
(a) Institutional charges
26.06
26.07
(b) Arbitral tribunal fees and expenses
26.08
26.09
26.10
(c) External counsel’s fees
26.11
26.12
(d) Costs of witnesses
26.13
26.14
26.15
26.16
26.17
26.18
(e) Miscellaneous costs
26.19
C The Funding of International Arbitration
26.20
(a) Types of funding
26.21
26.22
26.23
26.24
26.25
26.26
26.27
26.28
(b) Third-party funding—current practices, benefits, and challenges
26.29
26.30
26.31
26.32
26.33
26.34
26.35
26.36
26.37
D Conclusion
26.38
26.39
26.40
27 ‘Other Costs’ in International Arbitration: A Review of the Recoverability of Internal and Third-Party Funding Costs
A Introduction
27.01
27.02
27.03
27.04
B Underlying Principles Governing Recovery of Costs
27.05
27.06
27.07
27.08
C Standard Costs: Arbitration and External Counsel’s Costs
27.09
27.10
27.11
27.12
27.13
27.14
D Contested Costs: In-House Counsel (Management and Third-Party Funding Costs)
27.15
27.16
(a) In-house counsel costs
27.17
27.18
27.19
27.20
27.21
27.22
27.23
27.24
27.25
27.26
(b) Management and staff costs
27.27
27.28
27.29
27.30
27.31
27.32
27.33
(c) Third-party funding costs
27.34
27.35
27.36
27.37
27.38
27.39
27.40
27.41
27.42
27.43
27.44
27.45
27.46
27.47
27.48
27.49
27.50
E Conclusion
27.51
27.52
27.53
27.54
27.55
27.56
28 Optimizing the use of Mediation in International Arbitration: A Cost–Benefit Analysis of ‘Two Hat’ Versus ‘Two People’ Models
A Introduction
28.01
28.02
28.03
28.04
28.05
28.06
28.07
B The Right to Act as Mediator or Conciliator in Facilitating Settlement
28.08
28.09
C Facilitative v Evaluative Mediation
28.10
28.11
D Advantages and Disadvantages of a Dual-Role Neutral
(a) Cost
28.12
28.13
28.14
(b) An authoritative figure may more readily promote settlement
28.15
28.16
(c) Coordination benefits
28.17
28.18
(d) Timing
28.19
28.20
28.21
28.22
(e) Negative incentives as to party behaviour
28.23
28.24
(f) Dealing with improper conduct in the mediation
28.25
28.26
(g) Jurisdictional ambit
28.27
28.28
(h) Conflicting powers and duties
28.29
28.30
(i) Immunity
28.31
(j) Reality testing
28.32
28.33
(k) Caucusing
28.34
28.35
28.36
28.37
(l) Evaluative mediation
28.38
28.39
28.40
28.41
28.42
(m) Confidentiality
28.43
28.44
28.45
28.46
28.47
(n) Enforcement
28.48
28.49
28.50
E Conclusion
28.51
28.52
28.53
28.54
28.55
Part X Judicial Review, Judicial Performance, and Enforcement
29 Judicial Review of the Merits of Arbitration Awards under English Law
A Introduction
29.01
B Before the Nineteenth Century
(a) The medieval era
29.02
29.03
(b) Legislative attention
29.04
29.05
29.06
29.07
29.08
29.09
(c) The Czarnikow decision
29.10
29.11
29.12
29.13
29.14
29.15
C The English Arbitration Act 1979
(a) An inconsistent course
29.16
29.17
(b) The Halfdan Grieg decision
29.18
29.19
29.20
29.21
(c) Calls for change
29.22
29.23
29.24
29.25
29.26
29.27
29.28
29.29
29.30
D The Nema Decision
(a) Background of the case
29.31
29.32
(b) The Court of Appeal
29.33
29.34
(c) The House of Lords
29.35
29.36
29.37
29.38
29.39
29.40
29.41
29.42
29.43
E Section 69 of the English Arbitration Act 1996
29.44
29.45
29.46
29.47
29.48
29.49
29.50
29.51
29.52
F Conclusion
29.53
29.54
29.55
29.56
29.57
30 Improving Judicial Performance in Matters Involving International Arbitration
A Introduction
30.01
30.02
30.03
30.04
30.05
30.06
30.07
30.08
B Structural Efforts to Improve Judicial Decision-Making
30.09
30.10
30.11
30.12
30.13
30.14
C Educational Efforts to Improve Judicial Decision-Making
(a) Conferences and seminars
30.15
30.16
30.17
(b) Judicial outreach efforts by governmental organizations
30.18
30.19
30.20
30.21
30.22
(c) Judicial outreach efforts by inter-governmental and non-governmental organizations
30.23
30.24
30.25
(d) Judicial outreach efforts by private organizations
30.26
30.27
D Conclusion
30.28
31 The Principled English Ambivalence to Law and Dispute Resolution Beyond the State
A Introduction
31.01
31.02
31.03
31.04
B Choice of Non-State Law
(a) Choice of non-state law in litigation
31.05
31.06
31.07
31.08
31.09
(b) Choice of arbitration and non-state law
31.10
31.11
31.12
31.13
31.14
31.15
31.16
(c) Judicial enforcement of arbitral awards based on non-state law
31.17
31.18
31.19
(d) Inconsistency or principled ambivalence?
31.20
31.21
31.22
C Non-State Dispute Resolution
(a) The ‘independence’ of an arbitral award
31.23
31.24
(b) Yukos Capital SARL v OJSC Rosneft Oil Co
31.25
31.26
31.27
(c) Inconsistency or principled ambivalence?
31.28
31.29
31.30
31.31
D Conclusion
31.32
31.33
Part XI Public Policy and Abuse of Process
32 Public Policy Rules in English Arbitration Law
A Introduction
32.01
32.02
32.03
32.04
B Public Policy in English Law
(a) Historical development of public policy in English law
32.05
32.06
32.07
32.08
32.09
32.10
32.11
32.12
32.13
32.14
32.15
32.16
32.17
32.18
32.19
32.20
32.21
32.22
32.23
(b) Public policy in English private international law
32.24
32.25
32.26
32.27
32.28
32.29
32.30
(c) Public policy in arbitration law
32.31
32.32
C Public Policy in English Arbitration Law
32.33
32.34
32.35
32.36
32.37
32.38
32.39
32.40
32.41
32.42
32.43
32.44
32.45
32.46
32.47
32.48
32.49
32.50
32.51
D Evidence of Violation of Public Policy in English Arbitration Law
32.52
32.53
32.54
32.55
32.56
32.57
32.58
32.59
32.60
32.61
E Conclusion
32.62
32.63
32.64
32.65
32.66
32.67
32.68
32.69
32.70
32.71
32.72
33 The Role of Abuse of Process in Protecting the Integrity of Arbitration Awards
A Introduction
33.01
33.02
33.03
33.04
B The Development of the Principle of Abuse of Process
(a) An English development
33.05
33.06
33.07
(b) Abuse of process and collateral attacks on previous judgments
33.08
33.09
(c) Abuse of process and collateral attacks on previous awards
33.10
33.11
33.12
33.13
33.14
33.15
33.16
33.17
(d) Abuse of process as a power available to a tribunal sitting in arbitration in England
33.18
33.19
C The Tribunal’s Power to Dismiss Proceedings for Abuse of Process
33.20
33.21
33.22
33.23
33.24
33.25
33.26
D Wider Applicability of the Principle
33.27
33.28
33.29
33.30
33.31
33.32
E Arbitration Rules
33.33
33.34
33.35
33.36
33.37
33.38
F The New York Convention
33.39
33.40
G Is There a Public or Private Interest in Bringing an End to Arbitration?
33.41
33.42
33.43
33.44
H Conclusion
33.45
33.46
Part XII International Arbitration: Myths and Perspectives
34 Arbitration in the UAE: Demystifying the Myths
A Introduction
34.01
34.02
B The Jurisdictional Landscape of Arbitration in the UAE: Civil v Common
34.03
34.04
34.05
C The Institutional Choice of Arbitration in the UAE: No Limits
34.06
34.07
34.08
34.09
D The Local Infrastructure for Arbitration in the UAE: Truly International
34.10
34.11
E Arbitrability: Scale and Scope
34.12
34.13
34.14
34.15
F The Conduct of Arbitration in the UAE: Procedural Dos and Don’ts
34.16
34.17
(a) The obligation to arbitrate
34.18
(b) Formation of valid arbitration agreements
34.19
34.20
(c) Valid representation
34.21
(d) Terms of reference and the tribunal’s mandate
34.22
34.23
(e) Constitution of the tribunal
34.24
(f) Conditions precedent
34.25
(g) Defaulting parties
34.26
(h) Hearings
34.27
34.28
(i) Rules of evidence
34.29
(j) Formalistic requirements of the award
34.30
34.31
(k) Tribunal’s power to award costs
34.32
(l) Issuance of the award
34.33
34.34
G Court Support in Arbitration in the UAE: International Standards
34.35
34.36
H Enforcement of Arbitral Awards in the UAE: Promises and Prospects
34.37
34.38
34.39
34.40
34.41
I Public Policy in the UAE: Between Secularism and the Islamic Shari’ah
34.42
34.43
34.44
J Conclusion
34.45
34.46
Part XIII Dispute Resolution in the Construction Industry
35 Managing Construction Conflict: Unfinished Revolution, Continuing Evolution
A Introduction
35.01
35.02
35.03
35.04
35.05
35.06
35.07
B Harbingers of a ‘Quiet Revolution’ in the Construction Industry
35.08
35.09
35.10
(a) Partnering
35.11
(b) Relational contracting
35.12
(c) DRBs (adjudication)
35.13
35.14
(d) Dynamic conflict management: the DRA
35.15
35.16
35.17
(e) Mediation
35.18
35.19
(f) Arbitration
35.20
35.21
35.22
C The Unfinished Revolution
35.23
(a) Tackling the roots of conflict: collaborative contracting
(1) Partnering
35.24
(2) IPD
35.25
35.26
(b) ‘Real-time’ jobsite resolution
(1) DRBs (adjudication)
35.27
35.28
35.29
(2) Project mediation (standing mediator)
35.30
(c) Mediation: multi-dimensional instrument, whistle-stop on the litigation line
35.31
35.32
35.33
(1) Evolution of construction mediation as a lawyered process
35.34
(2) Experienced lawyers in mediation
35.35
35.36
35.37
35.38
(3) Mediation as professional practice
35.39
(4) Mediators: styles v strategies
35.40
35.41
35.42
(5) Convening ‘upfront’ work
35.43
(6) Mediators’ varying approaches to the process
35.44
(7) Stepped processes (mediation and arbitration)
35.45
35.46
35.47
35.48
35.49
35.50
(8) International trends
35.51
(d) Arbitration: coming to grips with ‘new litigation’
(1) Decline in domestic construction arbitration
35.52
35.53
35.54
(2) Users’ contrasting perspectives on arbitration
35.55
35.56
35.57
35.58
(3) ‘Drift’ towards a litigation model
35.59
(4) Responses to concerns about increasing cost and delay
35.60
35.61
35.62
(5) Demise of the multi-disciplinary tribunal
35.63
35.64
35.65
35.66
35.67
(6) Application of the law and other standards in decision-making
35.68
35.69
35.70
35.71
35.72
35.73
35.74
(7) Arbitration and settlement
35.75
35.76
(8) Party-appointed arbitrators: independent, partisan, or ‘predisposed’?
35.77
(9) The professional crunch
35.78
35.79
(10) International arbitration
35.80
35.81
D The Continuing Evolution: Five Transformative Trends
35.82
(a) Technology
35.83
35.84
35.85
35.86
35.87
35.88
35.89
35.90
35.91
35.92
35.93
(b) Globalization
35.94
35.95
35.96
35.97
35.98
(c) Insights through behavioural science and ‘big data’
35.99
35.100
35.101
35.102
(d) Longer productive lives (active retirement)
35.103
E Professional Practice, Education, and Credentialling
35.104
35.105
F Conclusion
35.106
35.107
36 Shifting the Burden of Proof: Revisiting Adjudication Decisions
A Introduction
36.01
36.02
36.03
36.04
36.05
B The Burden of Proof
36.06
36.07
36.08
36.09
C The Orthodox View—the Burden of Proof Does Not Move
36.10
36.11
36.12
36.13
36.14
36.15
36.16
36.17
D De Novo Hearing—a Rationale for the Orthodox View
36.18
36.19
36.20
E Shifting the Burden—the Approach in Walker v Quayside
36.21
36.22
36.23
36.24
36.25
36.26
36.27
F The Difficulties Arising from the Orthodox View
(a) Recovering monies which have been overpaid
36.28
36.29
36.30
36.31
36.32
(b) Recovery under the contract and the concept of temporary finality
36.33
36.34
36.35
36.36
36.37
36.38
36.39
36.40
36.41
36.42
G Conclusion
36.43
36.44
Part XIV Final Reflections and Looking Ahead
37 Recollections of Past Events and Reflections on Future Trends
A Introduction
37.01
37.02
37.03
37.04
37.05
37.06
B Taking Evidence
37.07
(a) Common law jurisdictions
37.08
37.09
(b) National and international arbitrations
37.10
37.11
37.12
37.13
37.14
37.15
37.16
37.17
37.18
37.19
37.20
C Conclusion
37.21
37.22
37.23
Further Material
Index
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Part IX Costs, Funding, and Ideas for Optimization, 25 The Harmonization of Costs Practices in International Arbitration: The Search for the Holy Grail, A Introduction
Michael O’Reilly
From:
Defining Issues in International Arbitration: Celebrating 100 Years of the Chartered Institute of Arbitrators
Edited By: Julio César Betancourt
Content type:
Book content
Product:
International Commercial Arbitration [ICMA]
Published in print:
12 May 2016
ISBN:
9780198783206
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