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Oxford Law Citator
Contents
Expand All
Collapse All
Preliminary Material
Series Editor’s Preface
Foreword
Acknowledgements
Contents
Table of Cases
Arbitral awards
American and British Claims Arbitration Tribunal
Cairo Regional Centre for International Commercial Arbitration
Chamber of National and International Arbitration of Milan
Court of Arbitration for Sport
French-Venezuelan Mixed Claims Commission of 1902
International Centre for Settlement of Investment Disputes
International Chamber of Commerce
Iran-US Claims Tribunal
Permanent Court of Arbitration
Spanish-US Claims Commission
Swedish Chamber of Commerce
United Nations Commission on International Trade Law
Decisions rendered by International and Supranational Courts and Tribunals
European Court of Human Rights
Court of Justice of the European Union
International Court of Justice
Judgments
Advisory Opinions
International Labor Organization Administrative Tribunal
International Tribunal for the Law of the Sea
Permanent Court of International Justice
State Court Decisions
Australia
Austria
Bangladesh
Belgium
England and Wales
France
Cour de cassation
Cour d’appel de Paris
Other
Germany
India
Ireland
Jamaica
Netherlands
Northern Ireland
Pakistan
Singapore
Sweden
Switzerland
USA
Table of Legislation
A International Treaties and Conventions
B International Principles and Model Laws
C European Treaties and Conventions
D European Union Regulations
E Other Regional Conventions and Treaties
F National Legislation and Codes
Austria
Belgium
Brazil
France
Germany
Italy
Netherlands
Panama
Peru
Spain
Sweden
Switzerland
Tunisia
United Kingdom
United States
G Arbitration Rules
List of Terms and Abbreviations
Epigraph
Main Text
Introduction
Preliminary Material
0.01
0.02
0.03
0.04
0.05
0.06
A Literature Review
0.07
0.08
0.09
0.10
0.11
0.12
0.13
B Aim of this Research
0.14
C Methodology
0.15
0.16
0.17
0.18
0.19
0.20
D Scope of this Research
0.21
E Terminology
0.22
0.23
0.24
0.25
0.26
Part I The Doctrine of Res Judicata in Litigation
Preliminary Material
PI.01
PI.02
PI.03
PI.04
PI.05
PI.06
PI.07
1 The Doctrine of Res Judicata in Domestic Laws
Preliminary Material
1.01
1.02
1.03
A Common Law
1.04
1 England
1.05
1.06
a Constituent elements
1.07
A judicial decision
1.08
A judicial tribunal
1.09
A judicial tribunal with jurisdiction over the parties and the subject matter
1.10
A final and conclusive decision
1.11
A decision on the merits
1.12
1.13
1.14
1.15
1.16
b Effects
1.17
1.18
1.19
Cause of action estoppel
1.20
1.21
1.22
1.23
Issue estoppel
1.24
1.25
1.26
1.27
Former recovery
1.28
1.29
Abuse of process: the rule in Henderson v Henderson
1.30
1.31
1.32
1.33
1.34
1.35
1.36
c The same parties
1.37
1.38
1.39
Parties
1.40
1.41
1.42
Privies
1.43
1.44
1.45
1.46
2 United States
1.47
1.48
1.49
a Constituent elements
1.50
A valid judgment
1.51
1.52
1.53
1.54
A final judgment
1.55
1.56
1.57
A judgment on the merits?
1.58
1.59
1.60
b Effects
1.61
Claim preclusion
1.62
1.63
1.64
Issue preclusion
1.65
1.66
1.67
1.68
1.69
1.70
c The same parties
1.71
1.72
Parties
1.73
1.74
1.75
1.76
Privies
1.77
1.78
1.79
Non-parties affected by a res judicata pursuant to the Restatement (Second)
1.80
1.81
1.82
1.83
The doctrine of mutuality
1.84
1.85
1.86
B Civil Law
1.87
1.88
1 France
1.89
1.90
1.91
a Constituent elements
1.92
A judgment
1.93
A determination of a legal dispute between parties
1.94
A final and conclusive judgment
1.95
A judgment on the merits
1.96
1.97
1.98
A judicial tribunal with jurisdiction over the parties and the subject matter?
1.99
The scope of res judicata
1.100
1.101
1.102
1.103
1.104
b Effects
1.105
1.106
1.107
1.108
1.109
c Requirements for the application of the doctrine of res judicata
1.110
1.111
1.112
Identity of parties
1.113
1.114
1.115
Identity of object
1.116
1.117
1.118
1.119
1.120
Identity of cause
1.121
1.122
1.123
1.124
1.125
1.126
2 Switzerland
1.127
1.128
1.129
1.130
1.131
a Constituent elements
1.132
A judgment
1.133
A judgment on the merits
1.134
1.135
1.136
1.137
1.138
1.139
A final and binding decision
1.140
1.141
A judicial tribunal with jurisdiction over the parties and the subject matter?
1.142
The scope of res judicata
1.143
1.144
1.145
1.146
b Effects
1.147
1.148
c Requirements for the application of the doctrine of res judicata
1.149
Identity of parties
1.150
1.151
Identity of subject matter in dispute
1.152
1.153
1.154
1.155
1.156
1.157
1.158
C Conclusion
1.159
1.160
1.161
1.162
1.163
1.164
1.165
1.166
1.167
2 The Doctrine of Res Judicata in International Law
Preliminary Material
2.01
2.02
2.03
2.04
2.05
A Private International Law
2.06
2.07
2.08
1 The Brussels I Regulation
2.09
2.10
2.11
2.12
2.13
2.14
2.15
2.16
2.17
2.18
2.19
2.20
2.21
2.22
2.23
2.24
2.25
2.26
2.27
2.28
2.29
2.30
2.31
2.32
2.33
2.34
2.35
2.36
2.37
2.38
2.39
2.40
2.41
2 The Hague Convention on Choice of Court Agreements
2.42
2.43
2.44
2.45
2.46
2.47
2.48
2.49
2.50
2.51
2.52
2.53
2.54
2.55
2.56
2.57
3 The ALI/UNIDROIT Principles of Transnational Civil Procedure
2.58
2.59
2.60
2.61
2.62
2.63
2.64
2.65
B Public International Law
2.66
2.67
2.68
2.69
2.70
2.71
2.72
2.73
2.74
2.75
1 Constituent elements
2.76
a A judgment
2.77
2.78
2.79
2.80
2.81
2.82
2.83
b A judicial court or tribunal
2.84
c A tribunal of competent jurisdiction
2.85
2.86
d A final decision
2.87
e A judgment on the merits?
2.88
2.89
2.90
2.91
f The scope of res judicata
2.92
2.93
2.94
2.95
2.96
2.97
2.98
2 Effects
2.99
2.100
2.101
2.102
2.103
2.104
3 Requirements for the application of the doctrine of res judicata
2.105
2.106
2.107
a Identity of parties
2.108
2.109
2.110
2.111
2.112
2.113
b Identity of object
2.114
2.115
2.116
2.117
2.118
2.119
c Identity of cause
2.120
2.121
2.122
2.123
2.124
2.125
2.126
d Identity of facts?
2.127
2.128
e Identity of legal order
2.129
2.130
C Conclusion
2.131
2.132
2.133
2.134
2.135
Part II The Doctrine of Res Judicata in International Commercial Arbitration
Preliminary Material
PII.01
PII.02
PII.03
PII.04
3 Res Judicata Issues Arise in International Commercial Arbitration
Preliminary Material
3.01
3.02
3.03
A Issues of Res Judicata Between International Commercial Arbitral Tribunals and State Courts
3.04
3.05
3.06
3.07
3.08
B Issues of Res Judicata Between Different International Commercial Arbitral Tribunals
3.09
3.10
3.11
3.12
3.13
3.14
3.15
3.16
C Issues of Res Judicata Before the Same Arbitral Tribunal
3.17
3.18
3.19
D Conclusion
3.20
3.21
3.22
3.23
4 Res Judicata in International Commercial Arbitration—A Problem
Preliminary Material
4.01
4.02
A Interests at Stake Due to the Occurrence of Res Judicata Issues in International Commercial Arbitration
4.03
1 Waste of resources
4.04
2 Undue burden on the winning party in the first proceedings
4.05
3 Risk of inconsistent decisions
4.06
4.07
4.08
4.09
4.10
4.11
B How are Res Judicata Issues Currently Dealt With in International Commercial Arbitration Law and Practice?
4.12
4.13
1 International commercial arbitration law
4.14
a Domestic arbitration laws
4.15
4.16
4.17
4.18
4.19
England
4.20
4.21
4.22
4.23
4.24
4.25
4.26
4.27
4.28
4.29
4.30
4.31
United States
4.32
4.33
4.34
4.35
4.36
4.37
4.38
4.39
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
France
4.55
4.56
4.57
4.58
4.59
4.60
4.61
4.62
4.63
4.64
4.65
4.66
4.67
4.68
4.69
4.70
4.71
Switzerland
4.72
4.73
4.74
4.75
4.76
4.77
4.78
4.79
4.80
4.81
4.82
4.83
4.84
4.85
4.86
4.87
4.88
4.89
4.90
UNCITRAL Model Law on International Commercial Arbitration
4.91
4.92
4.93
4.94
4.95
4.96
b Institutional arbitration rules
4.97
4.98
4.99
4.100
4.101
4.102
4.103
4.104
c International commercial arbitration conventions
4.105
1958 New York Convention on Recognition and Enforcement of Foreign Arbitral Awards
4.106
4.107
4.108
4.109
Other multilateral international commercial arbitration conventions
4.110
4.111
4.112
4.113
d International arbitration ‘soft law’: The ILA reports and Recommendations on res judicata and arbitration
4.114
e Conclusion
4.115
4.116
4.117
4.118
4.119
4.120
4.121
2 International commercial arbitration practice
4.122
4.123
4.124
4.125
a Which law governs res judicata issues in arbitration proceedings?
4.126
4.127
4.128
4.129
4.130
4.131
4.132
4.133
4.134
4.135
4.136
4.137
4.138
4.139
4.140
4.141
b Which res judicata requirements must be met before international commercial arbitral tribunals?
4.142
4.143
4.144
4.145
4.146
4.147
4.148
4.149
4.150
4.151
4.152
4.153
4.154
4.155
4.156
4.157
4.158
4.159
4.160
4.161
c To what extent have international arbitral tribunals afforded res judicata effects to prior decisions?
4.162
4.163
4.164
4.165
4.166
4.167
4.168
4.169
d In what circumstances have international commercial arbitral tribunals denied res judicata effects to prior decisions that were res judicata ?
4.170
4.171
4.172
e What effects have international commercial arbitral tribunals afforded to prior decisions that were not res judicata ?
4.173
4.174
4.175
4.176
4.177
4.178
f Conclusion
4.179
4.180
4.181
4.182
4.183
4.184
4.185
4.186
4.187
C Conclusion
4.188
4.189
4.190
4.191
4.192
4.193
4.194
4.195
5 Search for an Appropriate Approach
Preliminary Material
5.01
5.02
5.03
A Possible Approaches to Res Judicata Before International Commercial Arbitral Tribunals
5.04
1 Arbitral autonomy
5.05
5.06
5.07
5.08
5.09
5.10
5.11
5.12
5.13
2 Conflict-of-laws approach
5.14
5.15
5.16
5.17
5.18
5.19
5.20
5.21
5.22
5.23
5.24
5.25
5.26
3 Comparative law approach
5.27
5.28
5.29
5.30
4 Transnational approach
5.31
5.32
5.33
5.34
5.35
5.36
B The Appropriate Approach: Transnational Res Judicata Principles for International Commercial Arbitration
5.37
5.38
1 Analogy between international commercial arbitration and domestic litigation for res judicata purposes
5.39
a What is international commercial arbitration?
5.40
5.41
5.42
5.43
5.44
5.45
5.46
b Fundamental features of international commercial arbitration
5.47
5.48
International commercial arbitration is autonomous
5.49
5.50
5.51
5.52
5.53
5.54
5.55
5.56
5.57
5.58
5.59
5.60
5.61
5.62
5.63
5.64
5.65
5.66
5.67
5.68
5.69
5.70
5.71
5.72
International commercial arbitration is contractual
5.73
5.74
5.75
5.76
5.77
5.78
International commercial arbitration is private
5.79
5.80
5.81
5.82
5.83
Other fundamental features of international commercial arbitration
5.84
5.85
5.86
5.87
5.88
5.89
5.90
c Conclusion
5.91
5.92
5.93
5.94
2 Sources of transnational res judicata principles
5.95
5.96
5.97
5.98
5.99
5.100
5.101
5.102
5.103
5.104
3 Legal basis for the application of transnational res judicata principles
5.105
5.106
5.107
5.108
5.109
5.110
5.111
5.112
5.113
C Conclusion
5.114
5.115
6 Transnational Res Judicata Principles for International Commercial Arbitral Tribunals
Preliminary Material
6.01
6.02
6.03
A Res Judicata in Cases of Prior National Court Judgments Before International Commercial Arbitral Tribunals
6.04
6.05
6.06
6.07
6.08
6.09
6.10
6.11
6.12
6.13
6.14
6.15
1 Constituent elements of a res judicata
6.16
a A judicial decision
6.17
b A judicial tribunal
6.18
c A final and binding decision
6.19
6.20
6.21
6.22
d A judicial tribunal with jurisdiction over the parties and the subject matter?
6.23
6.24
6.25
6.26
6.27
6.28
6.29
6.30
6.31
e A decision ‘on the merits’
6.32
Prior judgments in an identical case
6.33
6.34
6.35
6.36
6.37
6.38
Prior judgment in a different case
6.39
6.40
Prior judgments on jurisdiction
6.41
6.42
6.43
6.44
6.45
6.46
6.47
6.48
6.49
6.50
6.51
6.52
6.53
6.54
6.55
6.56
Prior judgments on provisional measures
6.57
6.58
6.59
6.60
6.61
6.62
6.63
6.64
6.65
2 The scope of res judicata effects to be given to national court judgments in international commercial arbitration proceedings
6.66
6.67
a Claim preclusion
6.68
6.69
6.70
6.71
6.72
b Issue preclusion
6.73
6.74
6.75
6.76
6.77
6.78
6.79
6.80
6.81
6.82
6.83
6.84
6.85
6.86
6.87
6.88
c The abuse of process doctrine
6.89
6.90
6.91
6.92
6.93
6.94
6.95
6.96
6.97
6.98
6.99
6.100
6.101
6.102
3 Requirements for the application of the res judicata doctrine
6.103
6.104
6.105
a The triple identity test
6.106
6.107
6.108
6.109
6.110
6.111
6.112
6.113
6.114
6.115
6.116
6.117
6.118
6.119
6.120
6.121
6.122
6.123
b Is the prior judgment capable of recognition in the country of the arbitral seat?
6.124
6.125
6.126
6.127
6.128
6.129
6.130
6.131
6.132
6.133
6.134
4 Conclusion
6.135
6.136
6.137
6.138
B Res Judicata in Cases of Prior Arbitral Awards Before International Commercial Arbitral Tribunals
6.139
6.140
6.141
1 Constituent elements of a res judicata
6.142
a An arbitral award
6.143
6.144
6.145
6.146
6.147
6.148
6.149
6.150
6.151
6.152
6.153
b A final and binding arbitral award
6.154
6.155
6.156
6.157
6.158
c A valid arbitral award
6.159
6.160
6.161
6.162
6.163
d An arbitral tribunal with jurisdiction over the parties and the subject matter?
6.164
6.165
6.166
e An arbitral award ‘on the merits’
6.167
6.168
6.169
6.170
Prior full final award in an identical case
6.171
6.172
6.173
6.174
6.175
6.176
6.177
Prior full final award in a different case
6.178
6.179
Prior partial final award
6.180
6.181
6.182
Prior award on jurisdiction
6.183
6.184
6.185
6.186
6.187
6.188
6.189
6.190
Prior arbitral decision on provisional measures
6.191
6.192
6.193
Prior arbitral decision on preliminary substantive issues
6.194
2 The scope of res judicata effects to be given to prior arbitral awards in international commercial arbitration proceedings
6.195
6.196
a Claim preclusion
6.197
6.198
6.199
b Issue preclusion
6.200
6.201
6.202
6.203
6.204
6.205
c The abuse of process doctrine
6.206
6.207
3 Requirements for the application of the res judicata doctrine
6.208
6.209
a The triple identity test
6.210
6.211
6.212
6.213
6.214
b Is the prior arbitral award capable of recognition in the country of the arbitral seat of the other arbitration?
6.215
6.216
6.217
6.218
6.219
6.220
6.221
4 Conclusion
6.222
6.223
6.224
6.225
6.226
C Transnational Res Judicata Principles for International Commercial Arbitral Tribunals
6.227
6.228
6.229
1 Transnational res judicata principles with respect to prior national court judgments
6.230
6.231
6.232
6.233
6.234
6.235
6.236
6.237
6.238
2 Transnational res judicata principles with respect to prior arbitral awards
6.239
6.240
6.241
6.242
6.243
6.244
6.245
6.246
Conclusion
Preliminary Material
7.01
7.02
7.03
7.04
7.05
7.06
7.07
7.08
7.09
7.10
7.11
7.12
Further Material
Bibliography
Index
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Acknowledgements
From:
The Doctrine of Res Judicata Before International Commercial Arbitral Tribunals
Silja Schaffstein
Content type:
Book content
Product:
International Commercial Arbitration [ICMA]
Series:
Oxford International Arbitration Series
Published in print:
01 March 2016
ISBN:
9780198715610
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