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UNCITRAL Model Law on International Commercial Arbitration: A Commentary [Hardback]

(Florida International University), , (The University of Hong Kong), , (Radboud Universiteit Nijmegen)
  • Formāts: Hardback, 1142 pages, height x width x depth: 234x158x57 mm, weight: 1840 g, Worked examples or Exercises
  • Izdošanas datums: 05-Mar-2020
  • Izdevniecība: Cambridge University Press
  • ISBN-10: 110849823X
  • ISBN-13: 9781108498234
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UNCITRAL Model Law on International Commercial Arbitration: A CommentaryPalielināt
  • Formāts: Hardback, 1142 pages, height x width x depth: 234x158x57 mm, weight: 1840 g, Worked examples or Exercises
  • Izdošanas datums: 05-Mar-2020
  • Izdevniecība: Cambridge University Press
  • ISBN-10: 110849823X
  • ISBN-13: 9781108498234
Citas grāmatas par šo tēmu:
Permanent link: https://www.kriso.lv/db/9781108498234.html
Keywords:
Provides a comprehensive, article-by-article commentary on the UNCITRAL Model Law on International Commercial Arbitration. Written by leading academics and practitioners and combining both theory and practice, it will serve as a guidebook for practitioners, legislators and academics interested in international commercial arbitration.

This book provides a comprehensive commentary on the UNCITRAL Model Law on International Arbitration. Combining both theory and practice, it is written by leading academics and practitioners from Europe, Asia and the Americas to ensure the book has a balanced international coverage. The book not only provides an article-by-article critical analysis, but also incorporates information on the reality of legal practice in UNCITRAL jurisdictions, ensuring it is more than a recitation of case law and variations in legal text. This is not a handbook for practitioners needing a supportive citation, but rather a guide for practitioners, legislators and academics to the reasons the Model Law was structured as it was, and the reasons variations have been adopted.

Recenzijas

'A truly international treatise where theory meets actual practice. Not only does this book provide a useful and interesting background to the UNCITRAL Model Law, but more critically an instructive and in-depth analysis of each article, describing its purpose and application across numerous jurisdictions. Clearly a useful and practical addition to the existing body of law.' Alexis Mourre, President of the ICC International Court of Arbitration 'We now have the pleasure of a commentary that does justice to the significant achievements of the UNCITRAL Model Law. A diverse group of authors thoroughly analyse each of its 36 articles, comparing each one's application in various jurisdictions, without ever losing sight of the Model Law's initial raison d'źtre. An enlightening and accessible treatise that is fundamental to a proper understanding of this increasingly widespread legal text.' Emmanuel Gaillard, Professor of Law, Head of Shearman and Sterling's International Arbitration practice and Global Head of its Disputes Unit 'The Model Law is one of the main pillars upon which modern international arbitration has been built and prospered; it has gone a long way to achieve the aim of harmonisation, which makes doing business in different jurisdictions more certain. This Commentary by experienced practitioners and academics is timely, as the Model Law has been adopted in many jurisdictions. The book is essential for international business as well as teaching.' Neil Kaplan, Arbitrator, Arbitration Chambers, Hong Kong 'A starting point for anyone investigating the UNCITRAL Model Law, or any of the 111 jurisdictions it has been adopted in. The book provides a clear, easily accessible and insightful comparative legal analysis of the world's primary instrument of arbitration law. An absolute essential, both for practitioners and academics.' Bas van Zelst, Co-Head of Van Doorne's Arbitration Group, and Professor of Dispute Resolution and Arbitration, Maastricht University 'This work is an excellent value-add to the field: it consolidates in one tome a clear analysis of each section of the UNCITRAL Model Law in the light of the pertinent travaux préparatoires and key case law and arbitral decisions, supplemented with insightful commentary. Particularly for practitioners needing to address real-life issues under the Model Law in the course of their cases, this book will be an excellent time-saving resource.' José Astigarraga, Partner, ReedSmith LLP

Papildus informācija

The first comprehensive, article-by-article commentary on the UNCITRAL Model Law on International Commercial Arbitration.
Preface xxxv
List of Contributors xl
List of Abbreviations xlviii
Table of Treaties and Other International Instruments lvii
Table of Cases lxxii
Table of Legislation cxvii
Article 1 Scope of Application 1(24)
Michael Polkinghorne
Tuuli Timonen
Nika Larkimo
1 Travaux Preparatoires
2(3)
2 Paragraph 1
5(5)
2.1 International Commercial Arbitration
5(1)
2.2 International
6(1)
2.3 Commercial
7(3)
2.4 Subject to Any Agreement in Force between This State and Any Other State or States
10(1)
3 Paragraph 2
10(3)
4 Paragraph 3
13(6)
4.1 Paragraph 3(a)
14(1)
4.2 Paragraph 3(b)
15(3)
4.3 Paragraph 3(c)
18(1)
5 Paragraph 4
19(3)
6 Paragraph 5
22(3)
Article 2 Definitions and Rules of Interpretation 25(13)
Pietro Ortolani
1 Background and Travaux Preparatoires
25(3)
2 Article 2(a): 'Arbitration'
28(2)
3 Article 2(b): 'Arbitral Tribunal'
30(1)
4 Article 2(c): 'Court'
31(1)
5 Article 2(d): Party Autonomy and Third- Party Determination
31(2)
6 Article 2(e): Incorporation by Reference of Arbitration Rules
33(2)
7 Article 2(f): Applicability of Model Law Provisions to Counterclaims
35(3)
Article 2A International Origin and General Principles 38(12)
Ilias Bantekas
1 Background and Travaux Preparatoires
38(1)
2 Paragraph 1
39(8)
2.1 'Interpretation of This Law'
39(2)
2.2 Promotion of Uniformity
41(4)
2.3 'International Origin'
45(1)
2.4 'Observance of Good Faith'
46(1)
3 Paragraph 2
47(3)
3.1 'General Principles on which This Law Is Based'
48(2)
Article 3 Receipt of Written Communications 50(21)
Ilias Bantekas
1 Travaux Preparatoires
50(4)
2 Paragraph 1
54(16)
2.1 Paragraph 1(a)
54(16)
2.1.1 Notification as a Due Process Guarantee
54(2)
2.1.2 The Requirements of Proper Notification
56(3)
2.1.3 The Contents of the Notice
59(1)
2.1.4 Delivered to the Addressee Personally
60(1)
2.1.5 Mailing Address
61(2)
2.1.6 Place of Business
63(1)
2.1.7 Habitual Residence
64(1)
2.1.8 Reasonable Inquiry
65(2)
2.1.9 Last-Known Place of Business
67(1)
2.1.10 Proof of Delivery in Electronic Notifications
68(2)
2.2 Paragraph 1(b)
70(1)
3 Paragraph 2
70(1)
Article 4 Waiver of Right to Object 71(13)
Ilias Bantekas
1 Travaux Preparatoires
71(2)
2 Scope of the Waiver
73(3)
3 Nature of the Waiver
76(5)
3.1 Good Faith
77(1)
3.2 Abuse of Right and Estoppel
78(2)
3.3 Knowledge
80(1)
4 'Without Undue Delay'
81(1)
5 Time Limits
82(2)
Article 5 Extent of Court Intervention 84(12)
Manuel A. Gomez
1 Background and Travaux Preparatoires
84(5)
2 Matters Governed by This Law
89(3)
3 Exceptional Court Intervention
92(4)
Article 6 Court or Other Authority for Certain Functions of Arbitration Assistance and Supervision 96(16)
Shahla Ali
Odysseas G. Repousis
1 Travaux Preparatoires
96(4)
2 Involvement of Courts in Arbitral Proceedings and Inclusion under Article 6
100(3)
3 Appointment of Arbitrators
103(3)
4 Other Inclusions - Challenges to Procedure, Failure or Impossibility to Act, Review of Jurisdiction, Setting Aside Arbitral Awards
106(3)
5 Other Forms of Court Involvement Not Mentioned under Article 6
109(1)
6 Contracting Out of Article 6
110(2)
Article 7 Definition and Form of Arbitration Agreement 112(29)
Ilias Bantekas
Pietro Ortolani
1 Background and Travaux Preparatoires
113(3)
2 Commentary on Option One
116(13)
2.1 Paragraph 1
116(5)
2.1.1 Existence of an Arbitration Agreement
116(5)
2.2 Pre- and Post-Dispute Arbitration Agreements
121(1)
2.3 Types of Instruments Containing an Arbitration Agreement
122(4)
2.3.1 Contracts
123(1)
2.3.2 Trusts
124(1)
2.3.3 Corporate Articles of Establishment
125(1)
2.3.4 Testamentary Wills
126(1)
2.4 Range of Disputes
126(3)
3 Paragraph 2: Agreement in Writing
129(2)
4 Paragraph 3: Forms of Agreement in Writing
131(3)
4.1 Oral Agreements
131(1)
4.2 Incorporation by Conduct or Common Usage
132(2)
5 Paragraph 4: Electronic Communications
134(1)
6 Paragraph 5: Conduct-Based Estoppel
135(1)
7 Paragraph 6: Incorporation by Reference
135(3)
8 Commentary on Option Two
138(3)
8.1 Similarities between Option One and Option Two
138(1)
8.2 Differences between Option One and Option Two
138(3)
Article 8 Arbitration Agreement and Substantive Claim before Court 141(19)
Ilias Bantekas
1 Background and Travaux Preparatoires
141(2)
2 Paragraph 1
143(15)
2.1 The Scope of an 'Action'
144(1)
2.2 Referral by Request of a Party
145(2)
2.3 Referrals in respect of Actions Not Seised by the Forum Court
147(1)
2.4 Null and Void Arbitration Agreements
148(2)
2.5 Inoperable and Ineffective Arbitration Agreements
150(3)
2.6 The Absence of a Dispute
153(1)
2.7 Standard of Review Required of the Courts
154(2)
2.8 'Not Later than When Submitting First Statement on Substance of the Dispute'
156(2)
3 Paragraph 2
158(2)
3.1 Autonomy of Arbitral Proceedings
158(2)
Article 9 Arbitration Agreement and Interim Measures by Court 160(18)
Shahla Ali
Odysseas G. Repousis
1 Travaux Preparatoires
160(3)
2 Protection under Interim Measures
163(4)
2.1 'Interim'
166(1)
3 Grant of Interim Measure by Courts
167(1)
4 Defining 'Interim Measure of Protection'
168(2)
5 Comparison of Article 9 with Article 17
170(3)
6 Interim Measures Out of Jurisdiction
173(3)
7 Contracting Out of Article 9
176(2)
Article 10 Number of Arbitrators 178(9)
Ilias Bantekas
1 Background and Travaux Preparatoires
178(2)
2 Paragraph 1
180(1)
2.1 Odd and Even Number of Arbitrators
180(1)
3 Paragraph 2
181(4)
3.1 More than Three Arbitrators
183(1)
3.2 Number of Arbitrators in the Event of Multiple Parties
183(2)
4 Truncated Tribunals
185(2)
Article 11 Appointment of Arbitrators 187(19)
Shahla Ali
Odysseas G. Repousis
1 Background and Travaux Preparatoires
188(1)
2 Paragraph 1
189(3)
3 Paragraph 2
192(3)
3.1 Procedures for Appointing Arbitrators
192(2)
3.2 Limits of Autonomy
194(1)
4 Paragraph 3
195(3)
4.1 Paragraph 3(a)
196(2)
4.2 Paragraph 3(b)
198(1)
5 Paragraph 4
198(4)
5.1 Paragraph 4(a) and (b): Court Intervention
199(1)
5.2 Paragraph 4(c): Specified Authority to Make the Appointment
200(1)
5.3 Default Procedure in Multi-Party Arbitrations
201(1)
6 Paragraph 5
202(4)
6.1 Decision of Court or Specified Authority Not Subject to Appeal
202(1)
6.2 Considerations to Be Taken into Account in Appointment
203(1)
6.3 Nationality of Arbitrators
204(2)
Article 12 Grounds for Challenge 206(30)
Pietro Ortolani
1 Background and Travaux Preparatoires
206(2)
2 Paragraph 1: The Arbitrator's Duty of Disclosure
208(15)
2.1 When? - The Moment the Duty of Disclosure Arises
209(1)
2.2 What? - Scope of the Duty Ratione Materiae
210(3)
2.3 Who? - Scope of the Duty Ratione Personae
213(2)
2.3.1 Who Should Disclose? The Case of Administrative Secretaries and Tribunal- Appointed Experts
213(1)
2.3.2 To Whom Should the Circumstances Be Disclosed?
214(1)
2.4 No Distinction between Presiding and Party- Appointed Arbitrators
215(2)
2.5 Notions of Independence and Impartiality - General Contours
217(1)
2.6 Duration of the Duty
218(4)
2.7 Relevance of Notorious Facts before and after the Appointment
222(1)
3 Paragraph 2: The Challenge
223(13)
3.1 'Only': Exhaustiveness of the Model Law
224(1)
3.2 Rejection of the List Approach
225(1)
3.3 Broad Understanding of 'Circumstances'
226(1)
3.4 The Applicable Standard
227(2)
3.5 Recurring Scenarios
229(3)
3.5.1 Arbitrator's Relationship with a Party
229(1)
3.5.2 Arbitrator's Relationship with the Dispute
230(1)
3.5.3 Arbitrator's Relationship with a Counsel, Expert or Another Arbitrator
231(1)
3.6 Interaction with Paragraph 1: Consequences of the Arbitrator's Failure to Disclose
232(1)
3.7 Qualifications Agreed to by the Parties
233(1)
3.8 Good Faith of the Challenging Party
234(2)
Article 13 Challenge Procedure 236(19)
Manuel A. Gomez
1 Background and Travaux Preparatoires
236(5)
2 Paragraph 1
241(3)
2.1 The Parties Are Free to Agree on a Procedure for Challenging an Arbitrator
241(2)
2.2 Subject to the Provisions of Paragraph 3 of This Article
243(1)
3 Paragraph 2
244(6)
3.1 Unless the Challenged Arbitrator Withdraws ... the Arbitral Tribunal Shall Decide on the Challenge
247(3)
4 Paragraph 3
250(5)
4.1 If a Challenge ... Specified in Article 6 to Decide on the Challenge
250(2)
4.2 A Decision Subject to No Appeal
252(1)
4.3 While Such a Request Is Pending, the Arbitral Tribunal ... May Continue the Arbitral Proceedings and Make an Award
253(2)
Article 14 Failure or Impossibility to Act 255(22)
Michael Polkinghorne
Kirsten Odynski
Mariele Coulet-Diaz
Zehaan Trivedi
1 Background and Travaux Preparatoires
255(5)
1.1 Grounds Giving Rise to the Termination of an Arbitrator's Mandate
256(2)
1.2 Manner of Termination of an Arbitrator's Mandate
258(1)
1.3 Resolving Disagreements between Parties Regarding the Termination of an Arbitrator's Mandate
259(1)
2 Paragraph 1
260(15)
2.1 Standard
261(7)
2.1.1 Inability to Perform
261(2)
2.1.2 Failure to Act without Undue Delay
263(5)
2.2 Mechanisms for Terminating the Arbitrator's Mandate
268(4)
2.2.1 Arbitrator's Withdrawal
269(2)
2.2.2 Parties' Agreement
271(1)
2.2.3 Request to a Court or Other Authority
271(1)
2.3 Procedure for Termination
272(2)
2.3.1 Non-Formal Proceeding
272(1)
2.3.2 No Specific Time Limit
272(1)
2.3.3 Non-Mandatory Character
273(1)
2.4 Termination of an Arbitrator's Mandate
274(1)
3 Paragraph 2
275(2)
Article 15 Appointment of Substitute Arbitrator 277(15)
Pietro Ortolani
1 Background and Travaux Preparatoires
277(2)
2 Termination of Arbitral Mandate
279(8)
2.1 Qualification of the Relationship between Arbitrator and Parties as a 'Mandate'
279(2)
2.2 References to Articles 13 and 14
281(1)
2.3 'Withdrawal from Office for Any Other Reason'
282(3)
2.4 Revocation 'by Agreement of the Parties'
285(2)
2.5 'Any Other Case of Termination'
287(1)
3 Appointment of a Substitute Arbitrator
287(6)
3.1 'According to the Rules That were Applicable to the Appointment of the Arbitrator Being Replaced': Rationale and Consequences of the Rule
287(2)
3.2 Party Autonomy and the Limit of Equality of Arms
289(1)
3.3 The Problem of the Truncated Tribunal
290(2)
Article 16 Competence of Arbitral Tribunal to Rule on Its Own Jurisdiction 292(22)
Michael Polkinghorne
Alvaro Peralta
Hazel Levent
Gwen Wackwitz
1 Background and Travaux Preparatoires
293(4)
1.1 Concerning Subparagraph 1
293(1)
1.2 Concerning Subparagraph 2
294(1)
1.3 Concerning Subparagraph 3
295(2)
2 Paragraph 1
297(5)
2.1 Competence-Competence
297(3)
2.2 Severability
300(2)
3 Paragraph 2
302(4)
3.1 Form and Timing of Plea as to Tribunal's Lack of Jurisdiction
302(1)
3.2 Effect of Failure to Raise a Plea
303(3)
4 Paragraph 3
306(8)
4.1 Character of a Jurisdictional Decision
307(1)
4.2 Reviewability of a Negative Jurisdictional Decision
308(2)
4.3 Method of Contesting the Tribunal's Jurisdiction
310(1)
4.4 Standard of Judicial Review
311(3)
Article 17 Power of Arbitral Tribunal to Order Interim Measures 314(29)
Pietro Ortolani
1 Background and Travaux Preparatoires
314(6)
1.1 The 1985 Version
314(4)
1.2 The 2006 Revision
318(2)
2 Paragraph 1
320(6)
2.1 The End of the Prohibition against Arbitral Interim Relief
320(2)
2.2 The Role of Party Impulse
322(2)
2.3 The Role of Party Autonomy
324(2)
3 Paragraph 2
326(17)
3.1 Temporary Nature of the Interim Measure
326(2)
3.2 Relationship with the Subject Matter of the Dispute
328(1)
3.3 Form of the Interim Measure
329(2)
3.4 Temporal Scope of Application and the Problem of Interim Relief before the Constitution of the Tribunal
331(1)
3.5 Exhaustiveness of the List
331(3)
3.6 Paragraph 2(a): Status Quo Maintenance or Restoration
334(1)
3.7 Paragraph 2(b): Protection of the Arbitral Process Itself
335(2)
3.8 Paragraph 2(c): Asset Preservation
337(2)
3.9 Paragraph 2(d): Evidence Preservation
339(1)
3.10 The Problem of Anticipatory Relief
339(1)
3.11 Relationship between Arbitral Interim Relief and EU Law: Brussels I bis Regulation and European Account Preservation Order Regulation
340(3)
Article 17A Conditions for Granting Interim Measures 343(30)
Shahla Ali
Tom Kabau
1 Travaux Preparatoires
343(3)
2 Paragraph 1 (Chapeau)
346(21)
2.1 Requesting Ex Parte Interim Measures
346(2)
2.2 Satisfying the Tribunal
348(2)
2.3 Burden and Standard of Proof: The Party Requesting
350(14)
2.3.1 Paragraph 1(a): Balance of Convenience - Harm Not Adequately Reparable
355(6)
2.3.2 Paragraph 1(b): Reasonable Possibility of Success
361(3)
2.4 Paragraph 2: Interim Measures for Preservation of Evidence
364(2)
2.5 Relevance of Matters Other than Those Listed in Paragraph 1(a) and (b)
366(1)
3 Requesting Interim Measures in Courts
367(6)
Article 17B Applications for Preliminary Orders and Conditions for Granting Preliminary Orders 373(8)
Pietro Ortolani
1 Background and Travaux Preparatoires
373(2)
2 Paragraph 1
375(2)
3 Paragraph 2
377(1)
4 Paragraph 3
378(3)
Article 17C Specific Regime for Preliminary Orders 381(18)
Manuel A. Gomez
1 Background and Travaux Preparatoires
381(8)
2 Paragraph 1
389(3)
3 Paragraph 2
392(2)
4 Paragraph 3
394(1)
5 Paragraph 4
394(2)
6 Paragraph 5
396(3)
Article 17D Modification, Suspension, Termination 399(13)
Michael Polkinghorne
Mounia Larbaoui
1 Travaux Preparatoires
399(3)
2 The Temporary Nature of Provisional Measures and Preliminary Orders
402(1)
3 The Initiative to Modify, Suspend or Terminate Interim Measures or Preliminary Orders
403(1)
4 Review upon a Party's Request
404(2)
5 Review upon the Tribunal's Initiative
406(1)
6 Form of Interim Measures and Preliminary Orders
407(1)
7 Tribunal or Court-Ordered Interim Measures and Preliminary Orders
408(1)
8 Damages Claim
409(1)
9 In Practice
410(2)
Article 17E Provision of Security 412(10)
Pietro Ortolani
1 Background and Travaux Preparatoires
412(3)
2 Paragraph 1
415(4)
2.1 'May': Discretion of the Arbitral Tribunal
415(1)
2.2 'Require the Party Requesting an Interim Measure': Conditionality between Security and Measure
416(1)
2.3 'Appropriate': Factors Influencing Quantification
417(1)
2.4 'In Connection with the Measure': Scope of Security
417(2)
3 Paragraph 2
419(3)
3.1 'Shall': Need for Security in Connection with Preliminary Orders
419(1)
3.2 'Security' and 'Adequate Security'
420(1)
3.3 'Unless the Arbitral Tribunal Considers It Inappropriate or Unnecessary to Do So': Exceptional Cases of Preliminary Orders without Security
420(2)
Article 17F Disclosure 422(13)
Manuel A. Gomez
1 Background and Travaux Preparatoires
422(6)
2 Paragraph 1
428(4)
3 Paragraph 2
432(3)
Article 17G Costs and Damages 435(18)
Shahla Ali
Tom Kabau
1 Travaux Preparatoires
435(6)
1.1 Liability under Previous State Practice
439(2)
2 Liability for Costs
441(2)
3 Fault-Based Liability
443(2)
3.1 Substantive Liability Test
443(2)
4 Security for Costs and Damages
445(3)
5 Practical Implementation
448(1)
6 Enforcement
448(2)
7 Liability for Interim Measures Requested in Good Faith
450(1)
8 Liability of Arbitral Tribunal?
451(2)
Article 17H Recognition and Enforcement 453(20)
Manuel A. Gomez
1 Background and Travaux Preparatoires
453(8)
2 Paragraph 1
461(5)
3 Paragraph 2
466(2)
4 Paragraph 3
468(5)
Article 17I Grounds for Refusing Recognition or Enforcement 473(27)
Shahla Ali
Tom Kabau
1 Travaux Preparatoires
474(5)
1.1 Role of the Arbitral Tribunal
476(1)
1.2 Form of Interim Measures
476(1)
1.3 Parties against Whom It Is Invoked
477(1)
1.4 Burden of Proof
477(2)
2 Chapeau: Refusal at the Request of a Party
479(8)
2.1 Paragraph 1(a)(i)
479(4)
2.1.1 Invalidity of Arbitral Agreement
479(1)
2.1.2 Party Not Given Proper Notice
480(3)
2.2 Paragraph 1(a)(ii): Non-Compliance with Security Provisions
483(1)
2.3 Paragraph 1(a)(iii): Interim Measure Terminated or Suspended
484(3)
3 Paragraph 1(b): Refusal by a Court Finding
487(11)
3.1 Paragraph 1(b)(i): Measure Incompatible with a Court's Powers
487(3)
3.2 Paragraph 1(b)(ii): Subject Matter of the Dispute Not Arbitrable or Measures Conflicting with Public Policy
490(7)
3.2.1 Contrary to the Public Policy of the State
491(6)
3.3 Broader Grounds for Court to Refuse Enforcement?
497(1)
4 Paragraph 2: Review of the Substance of the Interim Measures
498(2)
Article 17J Court-Ordered Interim Measures 500(22)
Ilias Bantekas
Ikram Ullah
1 Background and Travaux Preparatoires
500(2)
2 Conditions to be Fulfilled in Order to Secure Interim Measures from the Court
502(2)
3 Serious Question to Be Tried or Making a Prima Facie Case
504(2)
4 Irreparable Harm
506(2)
5 Balance of Inconvenience
508(1)
6 Can the Court Go beyond the Three-Prong Test?
509(2)
7 Requirements to Be Fulfilled for a Court to Assume Jurisdiction
511(2)
8 Extraterritoriality of Court's Power to Issue Interim Measures
513(3)
9 Powers of Court to Grant Interim Measures before the Commencement of Arbitral Proceedings
516(3)
10 Interaction between the Power of Court and Arbitrator on the Point of Issuance of Interim Measures
519(3)
Article 18 Equal Treatment of Parties 522(17)
Ilias Bantekas
1 Travaux Preparatoires
522(3)
2 Limitations to Party Autonomy: Fair Trial Guarantees
525(4)
3 Equality
529(5)
3.1 Equality of Arms
530(4)
4 Full Opportunity to Present One's Case
534(5)
4.1 The General Rule
534(1)
4.2 Oral Hearings
535(4)
Article 19 Determination of Rules of Procedure 539(26)
Manuel A. Gomez
Ikram Ullah
1 Background and Travaux Preparatoires
539(8)
2 Paragraph 1
547(9)
2.1 Arbitration Procedure: Party Autonomy
547(1)
2.2 Parties' Choice of Procedural Regime
547(1)
2.3 Parties' Choice of Institutional Rules
548(1)
2.4 Prohibition of Unilaterality in Choosing and Amending Arbitral Procedure
549(1)
2.5 Arbitral Procedure: Arbitrator's Discretion
549(1)
2.6 Arbitrator's Role during Arbitration Proceedings
550(1)
2.7 Validity of Arbitration Agreement without Provisions on Arbitral Procedure
551(1)
2.8 Subordination of Article 19 to Mandatory Rules
552(1)
2.9 Objectives of Subordination
552(1)
2.10 Regulatory Force of Natural Justice
553(1)
2.11 Role of Arbitrator When Mandatory Rules Contradict with Procedures Chosen by the Parties
553(1)
2.12 Opting Out of the Model Law
554(2)
3 Paragraph 2
556(5)
3.1 Arbitrator's Discretion in Evidentiary Matters
556(1)
3.2 Principles Governing Relevance, Admissibility, Materiality and Weight of Evidence
557(1)
3.2.1 Relevance of Evidence
557(1)
3.2.2 Admissibility of Evidence
557(1)
3.2.3 Materiality and Weight of Evidence
558(1)
3.3 Ambit of the Arbitrator's Discretion on Evidentiary Matters
558(2)
3.4 Privileged and Confidential Evidence
560(1)
4 Judicial Scepticism to Touch Arbitrator Discretion on Matters of Evidence
561(4)
4.1 Courts' Attitude When the Arbitration Is Pending: Three-Factored Test
561(1)
4.2 Courts' Attitude after Arbitrator's Decision on Evidentiary Matters
562(7)
4.2.1 Procedural Fairness Test
562(1)
4.2.2 Disregard and Oversight of Evidence as Ground to Challenge Arbitrator's Decision
563(2)
Article 20 Place of Arbitration 565(26)
Pietro Ortolani
1 Background and Travaux Preparatoires
565(4)
2 Paragraph 1
569(18)
2.1 Notion of 'Seat' in the Model Law
569(2)
2.2 'The Parties Are Free to Agree': Selection of the Seat by the Parties
571(6)
2.2.1 Mode of Selection of the Seat by the Parties
571(3)
2.2.2 Indirect Choice of Seat
574(2)
2.2.3 Limitation of the Parties' Freedom
576(1)
2.3 'Failing Such Agreement': Selection of the Seat by the Arbitral Tribunal
577(10)
2.3.1 Mode of Selection of the Seat by the Tribunal
578(1)
2.3.2 Circumstances of the Case: Relevant Factors
579(1)
2.3.2.1 Suitability of the Lex Arbitri and Local Courts
580(1)
2.3.2.2 Existence of Treaties on the Enforcement of Arbitral Awards
581(1)
2.3.2.3 Practical Considerations
581(2)
2.3.3 Reference to the Convenience of the Parties
583(2)
2.3.4 Tribunal's Failure to Determine the Seat of Arbitration
585(2)
3 Paragraph 2
587(4)
3.1 'Unless Otherwise Agreed by the Parties': Role of Party Autonomy
587(2)
3.2 Activities That the Tribunal Can Carry Out Outside of the Seat
589(2)
Article 21 Commencement of Arbitral Proceedings 591(20)
Shahla Ali
Tom Kabau
1 Background and Introduction
591(1)
2 Travaux Preparatoires
592(5)
3 Commencement of Arbitration
597(12)
3.1 Time of Commencement
598(3)
3.2 A 'Request' as a Means of Commencing Arbitration
601(1)
3.3 Details of the Dispute
602(1)
3.4 Intention to Refer a Dispute to Arbitration
602(2)
3.5 Receipt of Request
604(2)
3.6 Limitation Period
606(3)
4 Application for Interim Measures before Commencement of Arbitration
609(2)
Article 22 Language 611(17)
Ilias Bantekas
1 Background and Travaux Preparatoires
611(2)
2 Paragraph 1
613(12)
2.1 'Language'
613(2)
2.2 Scope of 'Arbitral Proceedings'
615(1)
2.3 The Basic Rule: Party Autonomy
616(2)
2.4 Failure to Expressly Designate a Language
618(3)
2.5 Language Requirements Imposed under Institutional Rules
621(1)
2.6 Due Process Guarantees
622(3)
3 Paragraph 2
625(3)
Article 23 Statements of Claim and Defence 628(27)
Shahla Ali
Tom Kabau
1 Introduction and Background
628(2)
2 Travaux Preparatoires
630(4)
2.1 The Travaux of Paragraph 1
630(3)
2.2 The Travaux of Paragraph 2
633(1)
3 Paragraph 1
634(17)
3.1 Within the Period of Time
634(1)
3.2 Stating the Claim and Defence
635(4)
3.3 Elements of Statements
639(7)
3.4 Agreement of the Parties on Elements
646(2)
3.5 Jurisdictional Questions and the Filing of Statement of Defence
648(3)
4 Paragraph 2
651(4)
4.1 Making Amendments and Supplements
651(1)
4.2 Delay
651(2)
4.3 Right to Supplement
653(2)
Article 24 Hearings and Written Proceedings 655(20)
Pietro Ortolani
1 Background and Travaux Preparatoires
655(4)
2 Paragraph 1
659(8)
2.1 The Role of Party Autonomy
659(6)
2.1.1 The Parties' Agreement to Exclude Oral Hearings
660(1)
2.1.2 Request by One of the Parties to Hold Hearings
661(1)
2.1.3 Tribunal's Failure to Comply with the Request
662(2)
2.1.4 Requests to Hold Hearings on Substantive and Procedural Issues
664(1)
2.1.5 'Appropriateness' as an Overarching Criterion
664(1)
2.2 Arbitral Discretion in the Absence of Agreements or Requests
665(1)
2.3 Choice between Oral Hearings and Documents- Only Arbitration
666(1)
3 Paragraph 2
667(4)
4 Paragraph 3
671(4)
Article 25 Default of a Party 675(22)
Manuel A. Gomez
1 Background and Travaux Preparatoires
675(11)
2 Chapeau
686(3)
2.1 'Unless Otherwise Agreed by the Parties'
686(1)
2.2 Without Showing Sufficient Cause
687(2)
3 Subparagraph (a)
689(2)
4 Subparagraph (b)
691(2)
5 Subparagraph (c)
693(4)
Article 26 Expert Appointed by Arbitral Tribunal 697(21)
Michael Polkinghorne
Karim Mariey
Tomas Vail
1 Background and Travaux Preparatoires
697(4)
2 Paragraph 1(a)
701(12)
2.1 'Unless Otherwise Agreed by the Parties...'
701(1)
2.2 '...The Arbitral Tribunal May Appoint One or More Experts to Report to It...'
702(7)
2.3 '...On Specific Issues to Be Determined by the Arbitral Tribunal...'
709(4)
3 Paragraph 1(b)
713(2)
3.1 '...May Require a Party to...'
713(1)
3.2 '...To Give the Expert...'
714(1)
3.3 '...Any Relevant Information or to Produce, or to Provide Access to, Any Relevant Documents, Goods or Other Property for His Inspection...'
714(1)
4 Paragraph 2
715(3)
4.1 'Unless Otherwise Agreed by the Parties, If a Party So Requests or If the Arbitral Tribunal Considers It Necessary, the Expert Shall, after Delivery of His Written or Oral Report...'
715(1)
4.2 '...Participate in a Hearing Where the Parties Have the Opportunity to Put Questions to Him and to Present Expert Witnesses in Order to Testify on the Points at Issue...'
715(3)
Article 27 Court Assistance in Taking Evidence 718(14)
Shahla Ali
Odysseas G. Repousis
1 Background and Travaux Preparatoires
718(4)
2 Request for Assistance from Court - Approval of the Tribunal
722(1)
3 Exercise of the Court's Discretion and Scope of Assistance
723(1)
3.1 Specificity
724(1)
3.2 Timeliness
724(1)
4 Pre- and At-Trial Evidence
724(2)
5 Witnesses
726(1)
6 Abuses of Process
726(1)
7 Types of Assistance
727(1)
8 Assistance from Non-State Courts?
727(5)
Article 28 Rules Applicable to Substance of Dispute 732(26)
Ilias Bantekas
1 Background and Travaux Preparatoires
732(4)
2 Paragraph 1
736(9)
2.1 'Law' and 'Legal System'
738(1)
2.2 Rules of Law
739(2)
2.3 Lex Mercatoria
741(2)
2.4 Concurrent Laws and Depecage
743(2)
3 Paragraph 2
745(5)
3.1 Ordinary Operation of Conflict of Laws Rules
746(1)
3.2 The Operation of Conflict of Laws Rules in Arbitral Proceedings
747(3)
4 Paragraph 3
750(5)
4.1 Ex Aequo et Bono
751(3)
4.2 Amiable Composition
754(1)
5 Paragraph 4
755(3)
5.1 The 'Terms of the Contract' Supersede Choice of Law
755(1)
5.2 'Applicable Trade Usages'
756(2)
Article 29 Decision-Making by Panel of Arbitrators 758(14)
Manuel A. Gomez
1 Background and Travaux Preparatoires
758(7)
2 More than One Arbitrator
765(2)
3 Any Decision, by a Majority
767(2)
4 Unless Otherwise Agreed by the Parties
769(1)
5 Questions of Procedure May Be Decided by the Presiding Arbitrator
770(2)
Article 30 Settlement 772(33)
Michael Polkinghorne
Poorvi Satija
1 Introduction
772(4)
2 Travaux Preparatoires
776(4)
2.1 Who Should Request the Consent Award?
777(1)
2.2 Should the Arbitral Tribunal Be Vested with Discretion to Refuse the Consent Award?
778(2)
3 Paragraph 1
780(11)
3.1 During Arbitral Proceedings
780(1)
3.2 Settle the Dispute
781(2)
3.3 Shall Terminate the Proceedings
783(2)
3.4 If Requested by the Parties
785(1)
3.5 Not Objected to by the Arbitral Tribunal
785(5)
3.6 Form of Arbitral Award
790(1)
4 Paragraph 2
791(14)
4.1 Same Status and Effect as Any Other Award
792(9)
4.2 Interface between Arbitration and Other Forms of Alternative Dispute Resolution
801(6)
4.2.1 Arbitration as a Means of Inducing Settlement
801(1)
4.2.2 Can a Settlement Reached during Mediation Proceedings Be Transformed into a Consent Award?
801(2)
4.2.3 Outcome of Conciliation/Mediation Proceedings to Be Treated at Par as a Consent Award
803(1)
4.2.4 Gazing into the Crystal Ball: Convention on the Enforcement of Mediation Settlements?
803(2)
Article 31 Form and Contents of Award 805(26)
Ilias Bantekas
1 Background and Travaux Preparatoires
805(2)
2 Paragraph 1
807(12)
2.1 'Award'
807(3)
2.2 Res Judicata
810(2)
2.3 'Award in Writing'
812(1)
2.4 'Signed by the Arbitrator(s)'
813(1)
2.5 Failure to Sign
814(3)
2.6 Dissenting Opinions
817(2)
3 Paragraph 2
819(3)
3.1 Reasoned Awards
820(2)
4 Paragraph 3
822(5)
4.1 Date of the Award
823(1)
4.2 The Place of the Award
824(3)
5 Paragraph 4
827(4)
5.1 Delivery of Copies of Award
827(4)
Article 32 Termination of Proceedings 831(15)
Ilias Bantekas
1 Travaux Preparatoires
831(3)
2 Paragraph 1
834(6)
2.1 Final Award
835(1)
2.2 Interim and Partial Awards
836(1)
2.3 Termination Orders
837(2)
2.4 Functus Officio
839(1)
3 Paragraph 2
840(3)
3.1 Chapeau
840(1)
3.2 Paragraph 2(a)
841(12)
3.2.1 Legitimate Interest
841(1)
3.2.2 Claimant Withdrawal
842(1)
3.2.3 Revocation of Termination Order by the Tribunal
842(1)
4 Paragraph 2(b)
843(1)
5 Paragraph 2(c)
844(1)
6 Paragraph 3
845(1)
Article 33 Correction and Interpretation of Award; Additional Award 846(12)
Ilias Bantekas
Ikram Ullah
1 Background and Travaux Preparatoires
847(3)
2 Paragraph 1: Chapeau
850(1)
3 Subparagraph (a): Errors Amenable to Corrections
850(1)
4 Subparagraph (b): Interpretation of Award
851(1)
5 Notice Requirement
852(1)
6 Paragraph 2
852(1)
7 Paragraph 3: Additional Award
853(2)
7.1 Notion of 'Claim'
853(1)
7.2 Claim Presented, but Omitted
853(1)
7.3 Conscious Omission of Claim on the Part of the Tribunal
854(1)
7.4 Timelines before Corrected, Interpreted and Additional Award
854(1)
7.5 Moment of the Request and Deadline Extension
855(1)
8 Paragraph 4: Extension of Time Limit for the Issuance of Correction, Interpretation or Additional Award
855(1)
9 Paragraph 5: Applicability of Provisions on Form and Contents of Award
856(2)
Article 34 Application for Setting Aside as Exclusive Recourse against Arbitral Award 858(41)
Pietro Ortolani
1 Introduction
859(1)
2 Background and Travaux Preparatoires
860(2)
3 Paragraph 1: Exclusive Nature of the Recourse
862(1)
4 'An Arbitral Award May Be Set Aside ... Only If': Obligations, Discretion and Powers of the Court in Setting Arbitral Awards Aside, or Refusing to Do So
863(2)
5 Relevance of Party Impulse
865(1)
6 Paragraph (2)(a)(i)
866(6)
6.1 Incapacity of One of the Parties to the Agreement
866(4)
6.2 Invalidity of the Agreement
870(2)
7 Paragraph (2)(a)(ii)
872(7)
7.1 Failure to Give the Party Proper Notice of the Appointment of an Arbitrator or of the Arbitral Proceedings
872(4)
7.2 Inability to Present the Case
876(3)
8 Paragraph (2)(a)(iii): Excess of Mandate
879(4)
8.1 Cases of Excess of Mandate
880(3)
8.2 Severability
883(1)
9 Paragraph 34(2)(a)(iv)
883(8)
9.1 Composition of the Tribunal Not in Accordance with the Agreement of the Parties
884(1)
9.2 Arbitral Procedure Not in Accordance with the Agreement of the Parties
885(3)
9.3 Conflict between-the Agreement of the Parties and Mandatory Provisions of the Model Law
888(2)
9.4 Composition of the Tribunal or Arbitral Procedure Not in Accordance with the Model Law
890(1)
10 Paragraph 2(b)(i): Subject Matter of the Dispute Not Capable of Settlement by Arbitration under the Law of the Seat
891(1)
11 Paragraph 2(b)(ii): Award in Conflict with Public Policy
892(3)
12 Paragraph 3: Time Limit for Applications for Setting Aside
895(2)
13 Paragraph 4: Suspension of Setting-Aside Proceedings and Remission of the Award to the Tribunal
897(2)
Article 35 Recognition and Enforcement 899(28)
Pietro Ortolani
1 Introduction
899(1)
2 Background and Travaux Preparatoires
900(3)
2.1 Desirability of Regulating the Recognition and Enforcement of Foreign Awards
900(2)
2.2 No Distinction between Domestic and Foreign Awards
902(1)
2.3 Exclusion of Double Exequatur
902(1)
3 Paragraph 1
903(20)
3.1 'An Arbitral Award'
903(8)
3.1.1 Determining the Nature of Arbitral Decisions
903(2)
3.1.2 Awards on Jurisdiction
905(3)
3.1.3 Awards on Agreed Terms
908(1)
3.1.4 Awards Confirmed by a Judgment at the Seat
909(1)
3.1.5 Awards Already Recognised by Another Court
910(1)
3.1.6 Uncertainties Concerning the Operative Part of the Award
911(1)
3.2 'Irrespective of the Country in Which It Was Made'
911(1)
3.3 'Shall': Obligation to Recognise and Enforce
912(1)
3.4 'Recognised as Binding'
913(3)
3.4.1 Subjective Scope
914(1)
3.4.2 Chronological Scope
915(1)
3.5 Enforcement upon Application
916(1)
3.6 Jurisdiction to Recognise and Enforce
917(5)
3.6.1 Identification of the Court Competent to Hear Applications
918(1)
3.6.2 Scope of the Court's Jurisdiction
918(1)
3.6.3 Need for a Jurisdictional Nexus
919(3)
3.7 Requirements for Recognition and Enforcement
922(1)
4 Paragraph 2
923(4)
Article 36 Grounds for Refusing Recognition or Enforcement 927(50)
Michael Polkinghorne
Jack Biggs
Anna Chuwen Dai
Told Obamuroh
1 Background and Travaux Preparatoires
928(5)
2 Paragraph 1
933(42)
2.1 Paragraph 1(a)
937(1)
2.1.1 At the Request of the Party against Whom It Is Invoked, If That Party Furnishes to the Competent Court Where Recognition or Enforcement Is Sought Proof That ...
937(1)
2.2 Paragraph 1(a)(i)
938(9)
2.2.1 A Party to the Arbitration Agreement Referred to in Article 7 Was under Some Incapacity; or the Said Agreement Is Not Valid under the Law to Which the Parties Have Subjected It or, Failing Any Indication Thereon, under the Law of the Country Where the Award Was Made
938(1)
2.2.1.1 Incapacity of a Party to the Arbitration Agreement
939(4)
2.2.1.2 Invalidity of the Arbitration Agreement
943(4)
2.3 Paragraph 1(a)(ii)
947(6)
2.3.1 The Party against Whom the Award Is Invoked Was Not Given Proper Notice of the Appointment of an Arbitrator or of the Arbitral Proceedings or Was Otherwise Unable to Present His Case
947(1)
2.3.1.1 The Content and Criteria of 'Proper Notice'
947(2)
2.3.1.2 Proving That a Party Is 'Unable to Present His Case'
949(4)
2.4 Paragraph 1(a)(iii)
953(4)
2.4.1 Excess of Mandate/Partial Recognition and Enforcement
953(1)
2.4.2 What Constitutes Submission to Arbitration?
954(1)
2.4.3 Scope of Parties' Consent
955(1)
2.4.4 Partial Recognition and Enforcement of an Award
956(1)
2.5 Paragraph 1(a)(iv)
957(4)
2.5.1 Composition of the Tribunal and Arbitral Procedure
957(4)
2.6 Paragraph 1(a)(v)
961(5)
2.6.1 The Effects of Not-Yet-Binding Arbitral Awards
961(3)
2.6.2 The Effect of the Setting Aside or Suspension of an Arbitral Award
964(2)
2.7 Paragraph 1(b)
966(1)
2.7.1 If the Court Finds That...
966(1)
2.8 Paragraph 1(b)(i)
966(1)
2.8.1 The Subject Matter of the Dispute Is Not Capable of Settlement by Arbitration under the Law of This State
966(1)
2.8.1.1 Arbitrability
966(1)
2.9 Paragraph 1(b)(ii)
967(8)
2.9.1 The Recognition or Enforcement of the Award Would Be Contrary to the Public Policy of This State
967(1)
2.9.1.1 Public Policy
967(3)
2.9.1.2 Substantive Grounds
970(2)
2.9.1.3 Procedural Grounds
972(3)
3 Paragraph 2
975(2)
3.1 Adjournment
975(2)
Index 977
Ilias Bantekas is Professor of International Law and Arbitration at Hamad Bin Khalifa University (HBKU) Qatar and Senior Fellow at the Institute of Advanced Legal Studies (IALS) of the University of London. Pietro Ortolani is an Assistant Professor at Radboud Universiteit Nijmegen, in the Netherlands. He specializes in international arbitration and transnational dispute resolution. Before joining Radboud Universiteit Nijmegen, he was a Senior Research Fellow at the Max Planck Institute Luxembourg for Procedural Law, a Research Associate at the Universitą di Pisa and a Law Research Associate at Queen Mary, University of London. Ortolani has acted as an expert for the European Parliament and the European Commission and in 2016 won the James Crawford Prize Shahla Ali is a Professor of Law and Associate Dean (International) at The University of Hong Kong. Manuel A. Gómez is Professor of Law and Associate Dean of International and Graduate Studies at Florida International University College of Law. Michael Polkinghorne is a dual-qualified lawyer at White & Case LLP, Paris, where he heads the office's arbitration group. He is also joint-head of the firm's oil and gas practice, as well as pro bono leader of the firm's Paris office.