ARBITRATION INSIGHTSPDF电子书下载

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Chapter 1Arbitration Insights： Evolution and Themes &Loukas A.Mistelis 1

Ⅰ.The Establishment and History of the Lecture Series 1

Ⅱ.The Themes of the Lecture Series 4

A.States and State Enterprises in Arbitration 5

B.National Regulation of Arbitration 6

C.Procedural Matters and Availability of Remedies 8

D.Effiiciency of Arbitration Process 10

E.Impact of Law and Rules of Law on Arbitration Tribunals and the Arbitration Process 11

Chapter 2 States and the Undertaking to Arbitrate &Hazel Fox 13

Ⅰ.Introduction 13

Ⅱ.Obligations Contained in the Undertaking to Arbitrate 19

A.Between Private Parties 19

B.Between States 20

Ⅲ.Extension of Undertaking to Arbitrate to Cover Local Court Proceedings 23

A.State Immunity 23

B.Section 9 of the State Immunity Act 1978 24

Ⅳ. Mixed Claims Commssions and Arbitral Claims Tribunals 31

A.The Position of the Individual Claimant 34

B.Relationship of Arbitral Claims Tribunals to Local Courts 35

C.Dallal v.Bank Mellat 38

Ⅴ.Conclusion 43

Ⅵ.Addendum [2005] 44

Chapter 3 The Future of Arbitration： Flexibility or Rigidity &Giorgio Bernini 47

Ⅰ.Introduction： The General Theme 47

Ⅱ.Dilemma： Flexibility versus Rigidity 48

Ⅲ.Different Situations Call for Different Remedies 51

Ⅳ.A Realistic Approach to the Appraisal of Flexibility as Opposed to Rigidity 54

Ⅴ.Form of Proceedings and Foreseeability of Result in International Arbitration 57

Chapter 4The Problem of Delay in Arbitration &Lord Bingham 63

Ⅰ.Introduction 63

Ⅱ.Suggested Solutions to the Problem of Delay 65

Ⅲ.Other Jurisdictions 70

Ⅳ.A Critical Look 75

Chapter 5Punitive Damages in Arbitration &E.Allan Farnsworth 81

Ⅰ.Introduction 81

Ⅱ.Punitive Damages 82

A.Will a Court Stay Arbitration of the Punitive Damages Claim？ 83

B.Will the Arbitrators Grant Punitive Damages？ 84

C.Will a Court where the Award is Rendered Refuse Enforcement？ 87

D.Will a Court in Another Jurisdiction Refuse Enforcement？ 91

Ⅲ.Lessons for Drafting Arbitration Clauses 93

Chapter 6 The Adaptation of English Law to International Commercial Arbitration &Sir Roy Goode 97

Ⅰ.Introduction 97

Ⅱ.The Needs of Foreign Parties Arbitrating in England 99

Ⅲ.The Rules of English Law Governing International Commercial Arbitration 100

A.Limits of Arbitral Power 102

B.The Availability of Judicial Review 105

Ⅳ.Towards a Transnational Commercial Law 109

Ⅴ.The Adaptation of English Commercial Law to International Commercial Arbitration 113

Chapter 7The Efficacy of Award in International Commercial Arbitration &Albert Jan van den Berg 115

Ⅰ.Introduction 115

Ⅱ.Prevailing Legal Regime Concerning Annulment 117

Ⅲ.Recent Developments 119

A.Country of Origin 119

B.Foreign Enforcement Country 121

Ⅳ.Should the Action for Setting Aside Arbitral Awards be Retained in International Arbitration？ 125

A.Assessment of Motives for Above Developments 125

B.Disadvantages of the Developments Concerning Setting Aside 127

Ⅴ.Conclusion 130

Chapter 8England’s Response to the UNCITRAL Model Law of Arbitration &Lord Steyn 133

Ⅰ.Introduction 133

Ⅱ.The Decision Not To Adopt the Model Law 134

Ⅲ.The Way Forward 136

Ⅳ.The Structure of the Bill 137

Ⅴ.Some Major Issues 138

A.Kompetenz/Kompetenz and the Separability of the Arbitration Agreement 138

B.Evidence 140

C.Procedure 142

D.Immunity of Arbitrators 145

E.Relationship between the Courts and Arbitration 145

F.Equity Clauses 149

Ⅵ.Conclusion 152

Chapter 9Streamlining Arbitral Proceedings： Some Techniques of the Iran-United States Claims Tribunal &Howard M.Holtzmann 153

Ⅰ.Introduction 153

Ⅱ.Indicating in Advance the Evidence Needed to Establish Prima Facie Proof of Complex Facts 155

Ⅲ.Establishing and Enforcing Schedules for Presentations by Parties During Hearings 162

Ⅳ.Use of Checklists for Preparatory Conferences to Plan Proceedings 165

Ⅴ.Conclusion 167

Chapter 10‘Tell It to the Judge - But Only if You Must’ &Arthur L.Marriott QC 169

Ⅰ.Introduction 169

Ⅱ.The Case for Settlement 171

A.Will the Judge Intervene？ 172

B.Costs and Savings 173

C.The Green Paper 174

D.The Labour Party’s Proposal 175

E.The Herbert Smith Report 176

Ⅲ.The Cost of Lawyers 177

Ⅳ.Experience in the US 179

Ⅴ.Taking Cases Out of the Courts 181

Ⅵ.Cases Not Suitable for ADR 183

Ⅶ.Arbitration 184

A.Delay and Cost in Arbitration 186

B.Procedural Change 187

Ⅷ.Resistance to ADR 189

Ⅸ.The Role of the Courts in ADR 191

Ⅹ.Adjudication and Mediation in One Procedure 194

Ⅺ.Other Steps 195

Ⅻ.Conclusion 197

ⅩⅢ.Editors’ Endnote （for the original publication） 197

ⅩⅣ.Editors’ Endnote （2005） 199

Chapter 11 May the Majority of an International Arbitral Tribunal be Impeached？ &Stephen M.Schwebel 201

Ⅰ.Introduction 201

Ⅱ.The Arbitral Award of 31 July 1989 203

Ⅲ.Case Concerning the Arbitral Award of 31 July 1989 205

Ⅳ.The Judgment of the Court 207

Ⅴ.Conclusions 210

Chapter 12‘Pastures New’ （Review of Arbitration Act 1996） &Kenneth Rokison QC 213

Chapter 13Does the World Need Additional Uniform Legislation on Arbitration &Gerold Herrmann 223

Ⅰ.Introduction 223

Ⅱ.The Basis of Arbitration 227

A.‘In Writing’ 227

B.Field of Application of Article Ⅱ（3） New York Convention 231

C.Subjective and Objective Arbitrability 232

D.Restricting or Enlarging the Scope of the Arbitration Agreement 235

Ⅲ.Powers and Duties of Arbitrators， and Other Procedural Issues 238

Ⅳ.Court Assistance or Control （Excluding Enforcement） 245

Ⅴ.Reinforcing Recognition and Enforcement of Awards 248

A.Widening/Clarifying the Definition of ‘Award’ 249

B.Enforcement Conditions and Procedure 250

C.Grounds for Refusal or Recognition or Enforcement 251

Chapter 14 Lloyd George， Lenin and Cannibals： The Harriman Arbitration &V.V.Veeder QC 257

Ⅰ.Introduction 257

Ⅱ.The Harriman Concession （1925） 258

Ⅲ.The Harriman Arbitration （1928） 260

Ⅳ.‘Why’ is Arbitration？ 261

Ⅴ.Peace Through Trade 262

Ⅵ.Soviet Concessions Policy 264

Ⅶ.Urquhart and Hammer 265

A.The Urquhart Negotiations （1921） 265

B.Hammer’s First Concession （1921） 269

C.Urquhart’s Concession Agreement （1922） 271

Ⅷ.The Harriman Concession Agreement 273

Ⅸ.The Harriman Arbitration Clause 275

Ⅹ.The Harriman versus USSR Dispute 277

Ⅺ.Conclusion 283

Ⅻ.Appendix 284

Chapter 15 Reflections on the International Arbitrator’s Duty to Apply the Law &Pierre Mayer 289

Ⅰ.Introduction 289

Ⅱ.The Status of Law in the International Arbitral Process 291

A.Domestic Arbitration 291

B.International Arbitration 292

Ⅲ.The International Arbitrator’s Application of the Law 296

A.Law and Equity 297

B.Law and Contract 301

Ⅳ.Conclusion 304

Chapter 16 Arbitration between States and Foreign Investors： Retrospect and Prospect &Sir Elihu Lauterpacht QC 307

Ⅰ.Introduction 307

Ⅱ.The Fundamental Changes in the Number and Character of theTribunals 308

Chapter 17 Arbitration’s Protean Nature： The Value of Rules and the Risk of Discretion &William W.Park 331

Ⅰ.Synopsis 331

Ⅱ.Introduction： The Why and How of Arbitration 332

A.Diversity of Motive and Method 332

B.Common Themes 333

Ⅲ.Arbitral Discretion 334

A.The Benefits of Procedural Autonomy 334

B.Two Meanings of ‘Rules’ 335

Ⅳ.The Down Side of Discretion 336

A.The Need for Default Procedural Protocols 336

B.Arbitral Orthodoxy 338

Ⅴ.Arbitration’s Architecture 339

A.Institutional Provisions 339

B.Illustrative Questions： Privilege and Discovery 340

C.Consensus and Legal Culture 342

Ⅵ.Alternative Procedural Menus 344

A.‘Rules Light’ and ‘Rules Rich’ 344

B.Supplementary ‘Opt-in’ Rules 346

C.Gamesmanship， Over-Specificity and Escape Hatches 346

Ⅶ.Lore， Literature and Fairness 347

A.Generally Accepted Norms 347

B.Perceptions of Fairness 350

Ⅷ.Costs and Benefits of Innovation 351

A.Ex Ante and Ex Post Rule Making 351

B.Market Forces 353

C.Risks of Reform 354

Ⅸ.The Devil in the Details 355

A. Triage and Drafting 355

B.Surprise and Sequestration 356

Ⅹ.Conclusion 358

Ⅺ.Appendix 359

Addendum： Procedural Default Rules 360

Ⅰ.Introduction 360

Ⅱ.Professional Guidelines： The Soft Law of Arbitration 361

Ⅲ.Case Management and Procedural Delocalization 363

Ⅳ.Due Process， Rules and Flexibility 364

Chapter 18Dissenting Opinions in International Commercial Arbitration： The Good， the Bad and the Ugly &Alan Redfern 367

Chapter 19Arbitration and Latin America： Progress and Setbacks &Horacio Grigera Naon 393

Ⅰ.Introduction 393

Ⅱ.Historical Evolution of Arbitration in Latin America 394

Ⅲ.Expansion of International Commercial Arbitration in Latin America 411

Ⅳ.Political and Socio-Economic Developments 414

Ⅴ.Present Situation of Latin American Arbitration 421

Ⅵ.Efficacy of Arbitration Agreements and Awards in Latin America 421

A.The ‘Compromiso’ or Specific Submission 423

B.Arbitration as an Exception to the Jurisdiction of the ‘Natural Judge’ 426

C.Arbitral Tribunals： a Component of the Judiciary， or a Non-Judicial， Independent， Dispute Resolution Mechanism？ 428

D.National Courts and Arbitrators： Partners or Rivals？ 433

E.Latin America and the Ratification of International Treaties on Commercial Arbitration 444

Ⅶ.Conclusion 449

Chapter 20 Achieving the Dream： Autonomous Arbitration？ &Julian D.M.Lew QC 455

Ⅰ.Introduction： Dreams and Nightmares 455

Ⅱ.Practical and Theoretic Developments of Arbitration 457

Ⅲ.Historical Development of International Arbitration 459

Ⅳ.The Legal Nature of Arbitration 463

Ⅴ.Developments in Recent Times 465

Ⅵ.Emergence of the International Arbitration Mechanism 471

A.National Legislative Changes in the Major Arbitration Centres 471

B.Institutional Rules 474

Ⅶ.Implications of the Autonomy of International Arbitration 476

A.International Arbitration Procedure 476

B.Approach of National Courts 477

Ⅷ.Autonomy of International Arbitration 484

Subject Index 487

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