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Introduction Fundamental Problems in International Arbitration &Julian D.M.Lew QC1

Part Ⅰ： Arbitration and Policy Issues9

Chapter 1 Mitsubishi After Twenty Years： Mandatory Rules Before Courts and International Arbitrators &Donald Francis Donovan & Alexander K.A.Greenawalt11

Ⅰ.Introduction11

Ⅱ.The Mitsubishi Doctrine16

1. Background16

2. The Mitsubishi Decision19

3. Understanding Mitsubishi24

Ⅲ.The Courts’ Perspective30

1. mproper Delegation30

2. The Waiver Argument33

3. Arbitration of Mandatory Rules After Mitsubishi38

Ⅳ.The Arbitrators’ Perspective42

1. Mandatory Rules and Arbitral Authority46

2. Application of Mandatory Rules Which Exceed the Parties’ Agreement53

Chapter 2 Effect of nternational Public Policy in nternational Arbitration &Pierre Maver61

Ⅰ.Introduction61

Ⅱ.Notion of Transnational Public Policy62

Ⅲ.Nature of Transnational Public Policy63

1. Proposed Analysis63

2. Consequences of Proposed Analysis66

Ⅳ.Choice between Reliance on Transnational Public Policy and Application of Mandatory State Rules67

Chapter 3 Determination and Application of Relevant National and nternational Law and Rules &Catherine Kessedjian71

Ⅰ.Introduction71

Ⅱ.Etat des lieux （Inventory）72

Ⅲ.Hierarchy？74

Ⅳ.Role of Conflict of Laws81

Ⅴ.A Special Note on the Interpretation of Contract83

Ⅵ.How to Ascertain the Content of the Applicable Law？83

Ⅶ.Evolution of Applicable Law Over Time85

Ⅷ.Extent to Which a Judge May Control the Application of the Law or Rules by the Arbitral Tribunal85

Chapter 4 The Transparency of International Arbitration： Process and Substance &V.V.Veeder QC89

Ⅰ.Introduction： Arbitral Confidentiality in Related CourtProceedings89

Ⅱ.Established Confidentiality91

Ⅲ.Confidentiality and English Law93

Ⅳ.Conclusion101

Chapter 5 Time and Money： Cost Control and Effective Case Management &Klaus Sachs103

Ⅰ.Introduction103

Ⅱ.Costs of Arbitration104

1.Cost Structure of Arbitration104

2.The Various Methods of Calculating Arbitrator’s Fees104

（a） Institutional Arbitration105

（b） UNCITRAL Arbitration Rules 1976 and Ad Hoc Arbitration108

（c） The Administrative Fees109

（d） The Comparison between the Different Calculation Methods109

（e） The Cost of Legal Representation110

Ⅲ.The Reasons for the Increasing Costs of Arbitration112

Ⅳ.How to Control and Reduce the Cost of Arbitration113

Ⅴ.Conclusion115

Part Ⅱ： National and International Regulation of International Arbitration117

Chapter 6 Autonomy of International Arbitration Process &Henri Alvarez119

Ⅰ.Introduction119

Ⅱ.International Arbitration Procedure120

Ⅲ.Nomination and Appointment of Arbitrators127

Ⅳ.Separability and Kompetenz-Kompetenz - Different Approaches to These Questions and Limits131

Ⅴ.Standards in Respect of Expert Evidence138

Ⅵ.Conclusions139

Chapter 7 The Procedural Soft Law of International Arbitration： Non-Governmental Instruments &William W Park141

Ⅰ.The Challenge of Soft Law141

Ⅱ.Soft Law and the Arbitral Process143

1. What Consumers Want： Balancing Fairness and Efficiency143

2. “Judicialisation”146

3. Institutional Rules147

4. Divergent Cultural Baselines150

5. Secondary Markets for Rules： Illustrating the Impact of Soft Law152

（a） Who Gets the Last Word？153

（b） Ex Parte Measures153

Ⅲ.Soft Law and the Imperial Arbitrator153

Chapter 8 The Role of National Courts and Lex Fori in International Commercial Arbitration &Wang Shengchang and Cao Lijun155

Ⅰ. Lex Fori and Laws to be Applied to an Arbitration156

1. Three Laws Distinguished156

2. The Applicable Laws Referred to in the New York Convention157

3. Arbitration Agreement v.Lex Arbitri158

Ⅱ.The Judicial Role with Regard to Arbitration Agreement159

1. The New York Convention and National Legislations159

2. Stay of the Court Action and Anti-Suit Injunctions in England and the United States160

3. Upon the Request of a Party？162

4. Null and Void， Inoperative or Incapable of Being Performed163

（a） Meaning of the Terms163

（b） Which Law to Decide “Null and Void， Inoperative or Incapable of Being Performed”？163

（c） The Judicial Review of the Existence， Validity， and Scope of the Arbitration Agreement164

Ⅲ.The Judicial Role in the Composition of the Tribunal165

1. Equal Treatment Concern166

2. Arbitration Agreement and Lex Fori Regarding the Composition of the Tribunal166

3. The Court’s Role in the Constitution and Reconstitution of the Tribunal167

Ⅳ.The Judicial Role with Regard to Interim Measures of Protection168

1. Which Organ to Order Interim Measures， the Court or the Tribunal？169

（a） Necessity of Court-Ordered Measures169

（b） Three Approaches170

2.Whether Ordering Interim Measures Is in Violation of theAgreement to Arbitrate？173

3.Judicial Enforcement of Interim Measures in Support of International Commercial Arbitration174

（a） Enforcement of Tribunal-Ordered Measures174

（b） Enforcement of Court-Ordered Measures by the Court of Another Jurisdiction177

Ⅴ.Court Review of Arbitral Awards177

1.Two Types of Review and Applicable Laws177

2.Grounds for Refusing Recognition and Enforcement and Grounds for Setting Aside178

3.Delocalized Awards179

4.Enforcement Despite the Existence of a Ground for Refusal180

（a） Enforcement of an Award In Spite of its Being Set Aside181

（b） Enforcement Despite Procedural Irregularities181

Ⅵ.Conclusion183

Chapter 9 Provisional Measures &Ali Yesilirmak185

Ⅰ.Introduction185

Ⅱ.Arbitral Provisional Measures187

1. Jurisdiction of Arbitrators188

2. Standards， Principles and Procedures188

Ⅲ.Complementary Mechanisms192

1. Emergency Measures from a Head or Organ of an Arbitral Institution194

2. Emergency Arbitral Provisional Measures Procedures194

Ⅳ.Enforcement of Arbitral Provisional Measures196

Ⅴ.Conclusion200

Chapter 10 Reflections on the Use of Anti-Suit Injunctions in International Arbitration &Emmanuel Gaillard201

Ⅰ.Introduction201

Ⅱ.The Varied Use of Anti-Suit Injunctions in International Arbitration202

Ⅲ.The Inadequacy of Anti-Suit Injunctions in International Arbitration208

Part Ⅲ： International Arbitration and State Parties215

Chapter 11 Investment Arbitration and Commercial Arbitration （or the Tale of the Dolphin and the Shark） &Nigel Blackaby217

Ⅰ.Introduction217

Ⅱ.The Differences218

1. Source of the Consent to Arbitrate218

2. The Amicable Negotiation Period220

3. Nature of Issues222

4. Applicable Law222

5. State Participation225

6. Transparency226

7. Publicity of Decisions227

8. Importance of Lex Arbitri229

9. International Legal Effect230

Ⅲ.Similarities232

Ⅳ.Conclusion233

Chapter 12 Jurisdiction Challenges in BIT Arbitrations - Do You Read a BIT by Reading a BIT or by Reading into a BIT？ &Matthew Weiniger235

Ⅰ.Overview235

Ⅱ.Substance v.Appearance in ICSID Arbitrations237

Ⅲ.CMS v.Argentina240

Ⅳ.SGS v.Pakistan244

Ⅴ.SGS v.Philippines247

Ⅵ.Tokios Tokeles v.Ukraine250

Ⅶ.Conclusion254

Chapter 13 Interpretation of Treaties： How Do Arbitral Tribunals Interpret Dispute Settlement Provisions Embodied in Investment Treaties？ &Gabrielle Kaufmann-Kohler257

Ⅰ.The Question： How to Approach It and Why It Is Relevant257

Ⅱ.A Reminder： Basics of Treaty Interpretation258

1. The Vienna Convention258

2. A Comparison with Contract Interpretation260

Ⅲ.The Application of Treaty Interpretation Rules to Dispute Settlement Provisions in Investment Treaties262

1. Treaty v.Contract Claims262

2. “Disputes with Respect to Investments”265

3. Umbrella Clause267

4. Most Favoured Nation Clause269

Ⅳ.The Answer： Consistent and Other Solutions， and Possible Remedies271

1. Consistent Solutions272

2. Divergent Solutions due to Different Treaty Provisions272

3. Remaining nconsistencies and Remedies273

Part Ⅳ： International Arbitration and Third Parties279

Chapter 14 Groups of Companies in International Arbitration &Bernard Hanotiau279

Ⅰ.Introduction279

Ⅱ.Leading Cases282

Ⅲ.Tentative Conclusions285

Ⅳ.Peterson Farms288

Chapter 15 The Impact of Third Parties on International Arbitration - Issues of Assignment&Stephen Jagusch and Anthony Sinclair291

Ⅰ.Introducto Remarks291

1. Kompetenz-Kompetenz292

2. The Importance （and Problem） of Consent292

3. Particular ICSID and Other Investor-State Issues295

Ⅱ.Contractual Pennissions and Restrictions298

Ⅲ.Relevant Laws300

Ⅳ.Pending Arbitrations311

Ⅴ.Assignment and the Burden of an Arbitration Agreement313

Ⅵ.Conclusion318

Chapter 16The Amicus Role in International Arbitration Paul Friedland321

Ⅰ.Amicus Curiae Fringe or Mainstream321

1. Methanex v.United States322

2. UPS v.Canada324

3. NAFTA and ICSID324

Ⅱ.Differential Impact on the Arbitrating Parties328

Chapter 17Parallel Proceedings， Res Judicata and Lis Pendens： Problems and Possible Solutions &Norah Gallagher329

Ⅰ.Introduction329

Ⅱ.Parallel Proceedings331

1. Introductory Remarks331

2. The Czech Republic Arbitrations333

Ⅲ.The Principles of Res Judicata and Lis Pendens334

1. Res Judicata335

2. Lis Pendens338

Ⅳ.Application of Doctrines in Recent International Cases340

Ⅴ.Possible Solution to the Current Problems347

Ⅵ.Conclusion355

Chapter 18 Arbitration and Insolvency Proceedings - Selected Problems &Stefan M.Kroll357

Ⅰ.Introduction357

Ⅱ.Overview of the Basic Principles and Features of Insolvency Law359

Ⅲ.Possible Areas of Conflict360

Ⅳ.The Binding Force of Insolvency Provisions for Courts and Tribunals361

Ⅴ.Introducto.Effects of the Exclusive Jurisdiction and Mandatory Stay Provisions on Arbitration363

l .The Effects on Objective Arbitrability363

（a） The American View364

（b） Arbitrability According to the European Views367

2. Other Restrictions Imposed in Connections with the “Collective Procedure Principles”368

（a） Filing Requirements and Temporary Stays368

（b） Limitations on the Remedies Available369

Ⅵ.Effects of “Divestment and Substitution” Provisions on Arbitration370

l.Effects on the Tribunal’s Jurisdiction： The Personal Scope of the Agreement370

（a） Debtor Derived Claims370

（b） Non Debtor Derived Claims371

2. Effects on Arbitration Proceedings372

Ⅶ.Effects of Trustee’s Statutory Powers to Avoid ExecutoryContracts on Arbitration373

Ⅷ.Arbitration Practice374

Ⅸ.Conclusion376

Subject Index377