The principles and practice of international commercial arbitration / Margaret L. Moses.

Includes bibliographical references and index.

Foreword -- Preface -- Introduction to International Commercial Arbitration -- A. Purpose -- B. Defining Characteristics -- 1. Consent -- 2. Non-Governmental Decision-Makers -- 3. A Final and Binding Award -- C. Advantages of Arbitration -- D. Disadvantages of Arbitration -- E. The Regulatory Framework -- F. Institutional Arbitration v. Ad Hoc Arbitration -- G. Arbitral Institutions -- 1. The International Chamber of Commerce (ICC) International Court of Arbitration -- 2. The American Arbitration Association's (AAA) International Center for Dispute Resolution (ICDR) -- 3. The London Court of International Arbitration (LCIA) -- 4. Other Arbitral Institutions -- H. Arbitrations Involving States -- 1. ICSID Arbitrations -- 2. The Permanent Court of Arbitration -- I. Other Dispute Resolution Methods -- 1. Mediation -- 2. Conciliation -- 3. Neutral Evaluation -- 4. Expert Determination -- 5. Mini-Trials -- 6. Last Offer Arbitration (Baseball Arbitration) -- J. Conclusion -- The Arbitration Agreement -- A. Function and Purpose -- 1. Arbitration Clauses and Submission Agreements -- 2. Separability -- B. Validity -- 1. The Writing Requirement -- a. Recommended Interpretation of Articles II and VII -- b. Amendment to Article 7 of UNCITRAL Model Law -- c. U.N. Convention on Use of Electronic Communications -- d. Other Article 7 Issues -- e. Effect of the More Favorable Right Provision -- 2. A Defined Legal Relationship -- 3. Capable of Being Settled by Arbitration -- 4. Null and Void, Inoperable or Incapable of Being Performed -- a. Null and Void -- b. Inoperable -- c. Incapable of Being Performed -- C. Binding Nonsignatories -- 1. Group of Companies -- 2. Equitable Estoppel -- 3. Veil Piercing /Alter Ego -- Drafting the Arbitration Agreement -- A. Essential Requirements -- 1. Choice of Arbitrators -- 2. Place of Arbitration -- 3. Language of the Arbitration -- 4. Substantive Law -- B. Additional Provisions -- 1. International Bar Association Rules on Taking Evidence -- 2. Preliminary Relief -- 3. Technical Expertise -- 4. MultiStep Dispute Resolution Clauses -- 5. Dispositive Motions -- 6. Legal Fees and Costs -- 7. Confidentiality -- 8. Expanded Judicial Review -- 9. Waiver of State Immunity -- 10. Multiparty Agreements -- C. Conclusion -- Applicable Laws and Rules -- A. Importance of the Law -- B. Delocalization v. Territoriality -- 1. Arguments Favoring Delocalization -- 2. Arguments Opposing Delocalization -- 3. Some Modern Approaches to Delocalization -- a. Sports Arbitrations -- b. Online Arbitrations -- C. The / Lex Mercatoria -- 1. Definition of the / Lex Mercatoria -- 2. Application of the / Lex Mercatoria -- a. Contracts between States -- b. Contracts between a State and a Private Company -- D. The Parties' Choice of Law -- 1. The Law Governing the Arbitral Proceedings -- 2. The Rules Governing the Arbitral Proceedings -- 3. The Law Governing the Arbitration Agreement -- 4. The Law Governing Arbitrability -- 5. The Law Governing the Contract -- a. National or International Law -- b. / Lex Mercatoria -- c. Unrelated National Law -- d. / Depecage -- e. / Renvoi -- f. (Ex Aequo et Bono) and (Amiable Compositeur) -- E. When Parties Fail to Choose the Seat or the Governing Law -- 1. Failure to Choose the Seat -- 2. Failure to Choose a Governing Law -- 3. Conflicts of Law -- 4. Voie Indirecte -- 5. Voie Directe -- F. An Arbitrator's Duty to Apply the Law -- 1. Law or Equity -- 2. Duty to Render an Enforceable Award -- 3. Applying the Law -- a. The / Lex Arbitri -- b. Mandatory Law -- c. Mandatory Law and Public Policy -- Judicial Assistance for Arbitration -- A. Enforcement of Arbitration Agreements -- 1. Extent of Judicial Review -- 2. Competence-Competence -- B. Anti-Suit Injunctions -- 1. Anti-Suit Injunctions in the United States -- 2. Anti-Suit Injunctions in Europe -- C. Interim Measures -- 1. Kinds of Interim Measures -- 2. Tribunal or Court - Where to Go for Interim Relief -- 3. Basis for Interim Measures -- 4. Enforcement of Interim Measures -- D. Court Assistance in Obtaining Evidence -- 1. Procedural Orders -- 2. National Laws Concerning Court Assistance -- 3. Summons Issued by U.S. Arbitrators -- 4. Tribunal in the United States Seeking Evidence Outside the United States -- 5. Court Assistance in the United States to Foreign Tribunals -- The Tribunal -- A. Appointment of Arbitrators -- 1. How Many Arbitrators? -- 2. Qualifications -- a. Knowledge and Experience -- b. Lawyers or Nonlawyers -- c. Professors as Arbitrators -- d. Language Fluency -- e. Availability -- f. Reputation -- g. Specifications and Requirements -- 3. Method of Selection -- a. Three Arbitrators -- I. The Rules -- II. The Practice -- Choosing the Party-Appointed Arbitrators (Coarbitrators) -- Choosing the Presiding Arbitrator (The Chair of the Tribunal) -- b. A Sole Arbitrator -- c. Ad Hoc Arbitration -- 4. Interviewing Prospective Arbitrators -- B. Obligations of Arbitrators -- 1. Independence and Impartiality -- a. The IBA Guidelines on Conflicts of Interest -- I. Part I: The General Standards -- II. Part II: Practical Application of the General Standards -- b. The 1987 IBA Rules of Ethics for Arbitrators -- c. American Arbitration Association (AAA)-American Bar Association (ABA) Code of Ethics for Arbitrators in Commercial Disputes -- 2. Other Obligations -- C. Challenges to the Arbitrator -- D. Flawed Conduct of Arbitrators -- E. Replacement of Arbitrators -- F. Arbitrator Immunity -- G. Costs and Fees -- The Arbitral Proceedings -- A. Beginning the Arbitration -- B. Preliminary Matters -- C. Written Submissions -- D. The Hearing -- 1. Chair Can Decide Procedural Issues -- 2. Scheduling the Hearings -- 3. Place of the Hearing --

4. Language of the Hearing -- 5. Local Bar Requirements -- 6. Closed Hearings -- 7. Record of Proceedings -- 8. Technology -- 9. Time Limits per Side -- 10. Default of Appearance -- 11. Expedited Proceedings -- E. Presenting Evidence -- 1. IBA Rules of Evidence -- 2. Burden of Proof -- 3. Documentary Evidence -- a. Hearsay Evidence -- b. Authentication -- c. Document Requests -- d. Arbitrator Discretion -- 4. Fact Witnesses -- a. Testimony Prior to the Hearing -- b. Witness Statements -- c. Who Can Testify -- d. Meeting with Witnesses -- e. Examining Witnesses -- f. Arbitrator Intervention -- g. Availability of Witnesses -- h. Compelling Witness Testimony -- 5. Expert Witnesses -- F. Post-Hearing Proceedings -- The Award -- A. Difference in "Orders" and "Awards" -- B. Types of Awards -- 1. Final Award -- 2. Partial and Interim Awards -- 3. Consent Award -- 4. Default Award -- C. Validity of the Award -- 1. Formalities -- 2. Communication -- 3. Time-Limits -- 4. Concurring and Dissenting Views -- 5. Scrutiny of the Draft Award -- 6. Finality, Clarity, Scope -- D. Remedies and Costs -- 1. Monetary Damages -- 2. Interest -- 3. Other Remedies -- 4. Costs -- E. (Res Judicata) Effect of the Award -- F. Confidentiality of the Award -- G. Post-Award Proceedings -- Attempts to Set Aside an Award -- A. Methods of Challenge -- B. Grounds of Challenge -- 1. Jurisdictional Challenges -- 2. Procedural Challenges -- 3. Challenges Based on the Merits -- C. Time Limitations -- D. Effects of a Successful Challenge -- Enforcement of the Award -- A. Application of International Conventions -- B. Principles Governing Recognition and Enforcement -- C. Requirements for Enforcement -- 1. Scope -- 2. Jurisdiction and / Forum Non Conveniens -- 3. Procedures for Enforcement -- D. Grounds for Nonenforcement under the Convention -- 1. Incapacity and Invalidity -- 2. Lack of Notice or Fairness -- 3. Arbitrator Acting in Excess of Authority -- 4. The Tribunal or the Procedure Is Not in Accord with the Parties' Agreement -- 5. The Award Is Not Yet Binding, or Has Been Set Aside -- a. A Binding Award -- b. Effect of a Vacated Award -- c. The Article V(1)(e) Loophole -- d. The Court's Discretion to Ignore the Article V(1) (e) Loophole -- e. Deference to Local Law under Article VII -- f. Enforcement of Vacated Awards -- 6. The Last Two Defenses under Article V -- a. Subject Matter Not Arbitrable -- b. Public Policy -- Conclusion -- Investment Arbitration -- A. Growth of Foreign Investment and Investment Arbitration -- B. Investor Protection -- 1. The Washington (ICSID) Convention -- a. Background -- b. ICSID Jurisdictional Requirements -- I. Consent -- II. Contracting State or National of Another Contracting State -- III. Legal Disputes and Investments -- c. Special Features of ICSID Arbitrations -- I. Delocalization -- II. Recognition, Enforcement, and Execution -- III. Publication of Awards -- d. Additional Facility Rules -- 2. Bilateral Investment Treaties (BITs) -- a. Background -- b. Substantive Rights -- c. Enforcing Rights under a BIT -- 3. Multilateral Investment Treaties -- 4. Investor Protection Legislation -- C. Overlap of Treaty-Based Rights and Contract-Based Rights -- 1. The Source of the Right -- 2. Umbrella Clauses -- 3. Distinguishing Contract and Treaty Claims -- 4. Coordinating Contracts with Treaties -- Appendices --> A: The United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards (The New York Convention) (1958) -- B: UNCITRAL Model Law on International Commercial Arbitration (original 1985 version) -- C: Annex I: Revised Articles of the UNCITRAL Model Law on International Commercial Arbitration (2006) -- D: Annex II: UNCITRAL Recommendation Regarding the Interpretation of Article II, Paragraph 2, and Article VII, Paragraph 1, of the New York Convention -- E: IBA Rules on Taking Evidence in International Commercial Arbitration -- F: IBA Rules of Ethics for International Arbitrators (1987) -- G: IBA Guidelines on Conflicts of Interests in International Arbitration -- H: The AAA-ABA Code of Ethics for Arbitrators in Commercial Disputes -- I. Model Clauses -- J: Useful Arbitration Websites.

"The Principles and Practice of International Commercial Arbitration provides the reader with immediate access to understanding the world of international arbitration. Arbitration has become the dispute resolution method of choice in international transactions. This book explains how and why arbitration works. It provides the legal and regulatory framework for international arbitration, as well as practical strategies to follow and pitfalls to avoid. It is short and readable, but comprehensive in its coverage of the basic requirements, including the most recent changes in arbitration laws, rules, and guidelines. In the book, the author includes insights from numerous international arbitrators and counsel, who tell firsthand about their own experiences of arbitration and their views of the best arbitration practices. Throughout the book, the principles of arbitration are supported and explained by the practice, providing a concrete approach to an important means of resolving disputes."--Publisher description.

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