Source: https://olrl.ouplaw.com/view/10.1093/law/9780198753483.001.0001/law-9780198753483-chapter-8
Timestamp: 2020-02-23 17:06:22
Document Index: 738466733

Matched Legal Cases: ['arty\n2', '§ 7503', '§ 7502', '§ 7501', '§ 7502', '§ 7503', '§ 7504', '§ 7505', '§ 7506', '§ 7507', '§ 7508', '§ 7509', '§ 7510', '§ 7511', '§ 7512', '§ 7513', '§ 7514', 'art 53']

Oxford Legal Research Library: 7 Enforcing International Arbitration Agreements in:
International Commercial Arbitration in New York, 2nd Edition edited by Carter, James H; Fellas, John
I My Introduction to Arbitration
II The Legacy from Litigation
A The Examination of Witnesses
B Access to Documents
C Use of Expert Witnesses
Contents—Detailed
United States Code (U.S.C)
Table of Arbitral Rules
Table of Arbitral Awards
Introduction: The New York Arbitration Landscape
A Overview of International Arbitration in New York
1 The Major Arbitral Institutions in New York
(a) AAA/ICDR
(b) ICC/SICANA
(c) CPR
(d) JAMS
2 The Court System Supporting Arbitration
3 The New York International Arbitration Center
4 Other Supporting Organizations
(a) The New York International Arbitration Club
(b) Bar association committees
(c) The College of Commercial Arbitrators
(e) Consulting firms
(f) Law firm international groups
5 Arbitration Hearing Locations
B This Book
1 The Law Applicable to International Arbitration in New York
A Scope of this Chapter
B The FAA and How it Works
(a) What is the FAA?
(b) Defining preemption
(c) Jurisdiction of federal courts
2 FAA Chapter 1: The Federal Law of Arbitration
(b) Section 2
(c) Sections 3–4
(d) Sections 5–6
(e) Section 7
(f) Sections 9–13, 16
(I) The Provisions
(II) Hall Street and Cable Connection
3 Chapter 2: The New York Convention
4 Chapter 3: The Panama Convention
C The FAA and the New York State Arbitration Statute
1 State Law on Court’s Authority to Decide Statute of Limitations as Threshold Matter
2 State Law Limiting Time to Object to Validity of Agreement to Arbitrate
3 State Law Prohibiting Predispute Arbitration Agreements in Consumer Contracts
D Applicable Law Regarding Recognition of Arbitration Agreements Under the Conventions
1 Separability, the Conventions, and the FAA
(a) Separability doctrine
(b) The New York Convention
(c) The FAA
2 Applicable Law Regarding Formation and Substantive Validity of the Agreement to Arbitrate
(a) Case law from the Second Circuit applying law of forum
(b) Consideration of state contract law principles when applying law of forum in the Second Circuit
(c) Case law from the Second Circuit applying law of the underlying contract
(d) Consideration of internationally recognized minimum standards
3 Applicable Law Regarding Formal Validity of the Agreement to Arbitrate
4 Applicable Law Regarding Arbitrability
5 Applicable Law Regarding Interpretation and Scope
6 Applicable Law Regarding Capacity and Competence
E Applicable Law Regarding Recognition and Enforcement of Convention Awards
1 Application of the Conventions
2 Nondomestic Awards Rendered in the United States or Pursuant to U.S. Arbitration Law May Be Vacated Under U.S. Arbitration Law
3 Arbitral Awards Rendered Outside the United States or Pursuant to a Foreign Arbitration Law May Not Be Vacated Under U.S. Arbitration Law
4 Relevance of New York Arbitration Law to the Arbitral Award
F Effective Governing Law Clauses
2 The Impact of U.S. Litigation
B Overview of U.S. Litigation
1 The U.S. Legal System: An Adversarial Model
2 Structure of Courts in the United States
3 Sources of the Law Governing U.S. Litigation
(a) The substantive law
(I) The Common Law
(b) Rules of civil procedure
(c) Constitutions, rules of evidence, local court, and judge rules
(d) Ethical obligations and codes
4 Civil Procedure: A Guide to the Chronology of Litigation
C Commencement of the Litigation
1 Pleadings: The Complaint and Answer
2 The Court’s Authority to Oversee the Litigation: Jurisdiction
(a) Subject-matter jurisdiction
(b) Territorial jurisdiction
D Procedural Calendar
1 Managing the Case
2 Pretrial Conferences
3 The Scheduling Order
E Discovery: Establishing the Facts and Marshaling the Evidence
1 Discovery in the Adversarial Model
2 Rules, Methods, and Mechanisms of Discovery in U.S. Litigation
(a) Federal Rule of Civil Procedure 26
(b) Depositions, document requests, and third-party subpoenas
(c) The doctrine of privilege
3 Expert Discovery
4 Electronic Discovery
5 Using the Evidence: The Summary Judgment Motion
F Pretrial Matters and Presentation of the Case
G Decision and Judgment
1 Judgment in a Jury Trial
2 Judgment in a Bench Trial
H Costs
I Appeals: Challenging the Judgment
1 The “Final Judgment” Rule
2 Appeals to Higher Courts
3 Scope of Appellate Review
3 Drafting Considerations for Clauses Designating New York as the Place of Arbitration
A Preliminary Drafting Considerations not Particular to Arbitration in New York
Arbitration as the designated dispute settlement method.
2 Recommended Elements
B Drafting Considerations Specific to Clauses Providing for Arbitration in New York
1 The Law Governing Clauses Providing for Arbitration in New York
2 Jurisdictional Considerations
(a) Kompetenz-Kompetenz
(b) Arbitral jurisdiction to resolve preliminary issues
(c) Jurisdiction over nonsignatories
(d) Validity of sole option clauses
3 Powers and Duties of the Arbitral Tribunal
(a) Impartiality of arbitrators
(b) Allocation of costs and fees
(c) Punitive damages
(d) Class proceedings
4 Arbitral Process
(b) Consolidation of proceedings
5 Considerations Relating to Judicial Powers
(a) Provisional measures
(b) Modifying the scope of judicial review
(c) Enforcement of awards
4 The Application of New York Law to Contracts
A Choice-of-Law Rules in New York
B Contract Formation
1 Elements of a Contract
2 Future Contracts
3 Authority to Enter Contacts
C What Constitutes a Breach
1 Material Breach
2 Substantial Performance
3 Anticipatory Breach and Repudiation
4 Divisible or Installment Contracts
D Consequences of Breach of Contract
1 Effect on the Performance of the Non-breaching Party
2 Measure of Damages
3 Equitable Relief
E Claims Ancillary to Breach of Contract
1 Arbitrability of Ancillary Claims
2 Claims Ancillary to Breach of Contract under New York Law
(a) Implied covenant of good faith and fair dealing
(b) Unjust enrichment
(c) Fraud in the inducement
(d) Fraud in the performance
F Special Issues Arising under New York Law of Contracts
1 Merger Clauses
2 “Best Efforts” vs. “Reasonable Efforts”
3 Changed Circumstances and Force Majeure
5 The Selection of Arbitrators
A Tribunal Structure
1 Detailed Arbitrator Selection Clauses
2 Incorporation of Arbitral Rules Governing Tribunal Formation
(a) ICDR international rules
(b) AAA commercial rules
(c) ICC rules
(d) UNCITRAL rules
(e) CPR rules
(f) JAMS rules
3 Idiosyncratic Appointing Authorities in New York
4 Dysfunctional Clauses Referring to Nonexistent or Unavailable Institutions
5 Statutory Default Procedures
B Strategy in Selecting Members of a Tripartite Tribunal
1 Role of the Default Mechanism
2 Lawyers vs. Nonlawyers
3 Special Professional Qualifications
C Neutrality of Party-Appointed Arbitrators
D Where to Find Arbitrator Candidates
1 The CPR Roster
2 The Energy Arbitrators’ List
3 The JAMS Roster
4 ICDR
5 ICC/U.S. Council for International Business
6 The International Arbitration Club of New York
7 Lawyer Directories
E The Selection Process
1 Communications with Party-Appointed Arbitrators
(a) The AAA/ABA Code and AAA Rules
(b) The Chartered Institute of Arbitrators’ Guideline
(c) Restricted time limits
2 Role of the Party-Appointed Arbitrators in Selecting a Chairperson
3 Negotiating Selection of a Chairperson
4 Convincing the Chairperson Candidate to Serve
F Arbitrator Compensation and Conflicts Waivers
G Conflicts Checks and Arbitrator Disclosures
H Challenges and Replacement of Arbitrators
6 Jurisdiction: Courts vs. Arbitrators
1 The Arbitration Agreement
2 Arbitral Jurisdiction
3 Policy Dimensions of Arbitral Jurisdiction
4 Kompetenz-Kompetenz and Severability as Guides to Allocating Authority over Arbitral Jurisdiction
B The “Arbitral Jurisdiction” Scenarios
C Asserting Arbitral Jurisdiction in Judicial Proceedings Prior to Arbitration
1 Choice of Law Governing Interpretation and Enforcement of the Arbitration Agreement
2 Severability as a Guide to Validity Questions
3 Kompetenz-Kompetenz and the Arbitrators’ Jurisdiction
(a) Who decides party issues?
(b) Who decides scope issues?
(c) Who decides validity issues?
(d) Who decides arbitrability and “arbitrability-related” issues?
4 Forum-Specific Issues: When and on What Grounds May Courts Avoid Arbitration of Otherwise Arbitrable Disputes?
(a) Limitation periods
(b) Waiver of a party’s right to arbitrate the dispute
(c) Res judicata and collateral estoppel
5 Appealability of Courts’ Arbitral Jurisdiction Determinations
D Arbitral Jurisdiction before the Arbitrators
1 Procedural Aspects of Arbitrators’ Jurisdictional Determinations
(a) Timing and form of jurisdictional objections
(b) Deferring the jurisdictional determination and joining it with the merits
(c) Special jurisdictional procedures for different institutional regimes
2 Choice of Law Governing Arbitrators’ Jurisdictional Determinations
3 Kompetenz-Kompetenz and the Scope and Validity of the Arbitrators’ Jurisdiction
(a) Preclusive effect of prior judicial determinations
(b) Waiver of jurisdictional challenges
4 Preclusive Effect of Prior Judicial Determinations on Forum-Specific Issues
5 Appealability of Interim Arbitral Determinations of Arbitral Jurisdiction
E Arbitral Jurisdiction upon Vacatur
1 Confirmation and Vacatur of Awards Rendered in New York
2 Law Governing the Interpretation and Validity of the Arbitration Agreement
3 Kompetenz-Kompetenz and Judicial Review upon Vacatur
(a) Review of the arbitrators’ decision as to the parties bound by the agreement
(b) Review of arbitrators’ determination of scope of arbitration agreement
(c) Review of arbitral determinations of the validity of the arbitration agreement
(I) Severability at the Vacatur Stage
(II) Deference on Validity of the Arbitration Agreement
(III) Deference to Arbitrators on “Arbitrability-Related” Issues
(d) Deference in cases where a court compelling arbitration has ruled on the jurisdictional issue
(e) Waiver of jurisdictional objections by failure to raise them before vacatur
4 Deference to Arbitrators on Forum-Specific Issues
F Arbitral Jurisdiction at Recognition and Enforcement
1 The Place of Arbitral Jurisdiction in Recognition and Enforcement
2 Choice of Law Governing the Recognition and Enforcement of an Arbitral Award and Defenses Thereto
3 Kompetenz-Kompetenz and Review of Arbitral Jurisdiction in Recognition and Enforcement Proceedings
(a) Deference to prior arbitral decision as to the parties bound by the agreement
(b) Deference to the arbitrators’ determination of scope of agreement
(c) Deference to arbitrators’ determination as to validity of agreement
(d) Deference to arbitrators on arbitrability and “arbitrability-related” issues
4 Deference to Arbitrators and Vacatur Courts on Forum-Specific Issues
5 Waiver of Jurisdiction Challenges
7 Enforcing International Arbitration Agreements
A Proceeding with the Arbitration without Court Intervention
B Court Intervention: Introduction
1 The Federal Policy in Favor of Arbitration and the New York and Panama Conventions
(a) The federal policy in favor of arbitration
(b) The New York and Panama Conventions
2 The Jurisdiction of U.S. Federal Courts
(b) Personal jurisdiction
3 The Allocation of Power between Arbitrators and Courts
(b) The separability presumption
C Reading the Kompetenz-Kompetenz Doctrine and the Separability Doctrine Together
1 Common Arbitrability Issues
(a) Challenges to the contract
(I) Challenges to the Validity of the Contract vs. a Claim that no Contract was Ever Concluded
(II) Challenges to the Validity of the Contract as a Whole Vs. Challenges Directed Specifically at the Arbitration Clause
(b) Nonsignatories
(II) Theories by Which Nonsignatories Can be Obligated to Arbitrate
A Incorporation by Reference
B Assumption by Conduct
C Agency
D Alter Ego/Piercing of the corporate veil
E Estoppel
F Third-Party Beneficiary
(c) The scope of an arbitration clause
(I) Referring Disputes About Scope to the Arbitrators
(II) Judicial Resolution of Disputes About Scope
D Court Intervention: Compelling Arbitration
1 Actions to Compel Arbitration under the Federal Arbitration Act
2 CPLR § 7503(c)
E Court Intervention: Staying Litigation Commenced in the United States in Breach of an Arbitration Clause
1 Motions to Stay or Dismiss Litigation under the Federal Arbitration Act
2 The Arbitrability of Claims under U.S. Law
3 Cases that Include Nonarbitrable Claims
F Court Intervention: Antisuit Injunctions
1 Antisuit Injunctions: An Overview
2 Circumstances in Which Courts Grant Antisuit Injunctions to Enforce Arbitration Agreements
3 Circumstances Where Courts Have Denied Antisuit Injunctions in Aid of Arbitration
G Damages for Breach of an Arbitration Agreement
8 Obtaining Preliminary Relief
A Introduction to Preliminary Relief
B Preliminary Relief from Arbitral Tribunals in New York
1 The Authority of Arbitral Tribunals to Issue Preliminary Relief
(a) Authority derived from the arbitration clause and the chosen arbitration rules
(b) Authority derived from applicable arbitration law
2 Preliminary Relief from Arbitral Tribunals: Types of Relief
3 Preliminary Relief from Arbitral Tribunals: Procedures
4 Preliminary Relief from Arbitral Tribunals: Judicial Enforcement
5 Preliminary Relief from an Emergency Arbitrator
(a) The need for emergency arbitral relief
(b) Overview of emergency arbitral relief procedures
C Preliminary Relief from Courts in Aid of Arbitration
1 The New York Convention and Preliminary Relief
2 Preliminary Relief from Federal Court
3 Preliminary Relief from New York State Courts
(a) Preliminary relief under NY CPLR § 7502(c)
(b) Additional requirements for grant of preliminary relief
B Framework for Discovery in International Arbitrations Venued in New York
1 Statutory Framework
(a) The Federal Arbitration Act
(b) The New York Civil Practice Law and Rules
2 Courts in New York Support Party Autonomy: Supremacy of the Parties’ Agreement on Discovery
3 In the Absence of an Agreement to the Contrary, Discovery in Arbitration Will Be More Limited than Discovery in Litigation in State or Federal Court
4 Arbitration Rules and Guidelines
(a) International Chamber of Commerce
(b) International Centre for Dispute Resolution
(c) JAMS/JAMS International Rules on Evidence
(d) U.N. Commission on International Trade Law
(e) International Institute for Conflict Prevention and Resolution
(f) The International Bar Association’s Rules on Taking of Evidence in International Commercial Arbitration
5 The Discretion of the Arbitral Tribunal
C Discovery Between the Parties
1 Document Discovery
(a) Documents in “hard copy” form
(b) Electronically stored documents and information
(c) Consequences of a party’s failure to produce documents
2 Availability of Depositions
3 Other Discovery Devices
4 Privilege
D Obtaining Discovery from Nonparties
E Discovery from Expert Witnesses
F Discovery when Seeking Preliminary Relief in Aid of Arbitration
G Discovery in New York in Aid of a Foreign Arbitration
10 Damages in International Arbitration
B Principles Controlling the Proof and Calculation of Damages
1 Commercial Damages for Breach of Contract
2 Money Damages vs. Specific Performance
3 Expectation Damages
(a) General damages
(b) Special damages
(c) Duty to mitigate
4 Liquidated Damages and Penalties
5 Punitive Damages
6 Alternate Theories of Commercial Damages
(a) Reliance
7 A Special Case: Demonstrating Damages for Anticipated Future Profits from a Lost Business Opportunity
C Calculation of Interest
1 Prejudgment Interest
2 Postjudgment Interest
D Attorneys’ Fees and Costs
1 Awards of Arbitrator Fees and Costs
2 Awards of Attorneys’ Fees and Costs
11 Class Action Arbitration
A General Principles Governing Class Actions in Courts in the United States
B The U.S. Supreme Court’s Decision in Bazzle
C The Class Arbitration Rules Established by the Aaa and Jams following Bazzle
1 AAA Class Arbitration Rules
2 JAMS Class Arbitration Rules
D The Effect of Hall St. Associates V. Mattel on Class Arbitrations
E The Different Sources of Law Which One Must Consider in Determining Whether a Silent Arbitration Clause Permits a Class Arbitration
F Federal Circuit Court and State Court Decisions Regarding Consolidation of Arbitrations and Class Arbitrations before Bazzle
G Clause-Construction Decisions by Arbitral Panels Adjudicating Class Arbitrations after Bazzle
H The U.S. Supreme Court Decision in Stolt-Neilsen S.A. V. Animalfeeds International Corp
I Post- Stolt-Neilsen Decisions by Arbitration Tribunals Regarding Whether “Silent Clauses” Permit Class Action Arbitrations
J Class-Certification Decisions by Arbitral Tribunals After Bazzle
1 Numerosity
3 Typicality
4 Adequacy of Class Representative(s)
5 Adequacy of the Class Representative(s)’ Counsel
6 Substantial Similarity of Arbitration Agreements
7 Predominance and Superiority of Claims
K Arbitral Clauses Prohibiting Class Actions and Public Policy Arguments Against Such Clauses Before the Supreme Court Decisions IN AT&T MobilitY LLC V. Concepcion and American Express Co. V. Italian Colors Restaurant
L Decisions by Courts, Before AT&T Mobility and American Express , Regarding Whether State Arbitration Laws and Concepts of Public Policy are Preempted by the Faa
M The Supreme Court Decisions in AT&T Mobility and American Express Regarding Whether Clauses Prohibiting Class Arbitrations are Against Public Policy and Whether a State’s Public Policy is Preempted by the FAA
N Decisions After AT&T Mobility And American Express Regarding Whether Clauses Prohibiting Class Arbitrations are Against Public Policy or Whether a State’s Public Policy is Preempted by the FAA
O Legislation Regarding Class-Action Arbitrations
P Conclusion
12 Arbitration Hearings in New York
A Conducting the Arbitration
1 Major Arbitral Institutions in New York
2 Arbitral Tribunals
(a) Federal and state law
(b) Institutional rules
3 Tribunal Secretaries
4 Confidentiality and Privacy of Proceedings
5 Arbitrators’ Lack of Authority to Disqualify Counsel in an Arbitration
B Who May Appear to Represent Parties in Arbitration in New York
C Witnesses
1 Written Witness Statements and Extent of Live Direct Testimony
4 Witness Attendance
(a) Obligation of a party to produce witnesses
(b) Subpoenas to compel witness attendance at a hearing
5 Witness Instructions
(a) Administering oaths to witnesses
(b) Adjournment and presence during testimony of other witnesses
6 Use of Exhibits
7 Closing Proceedings and Post-Hearing Submissions
D Logistics
1 Travel, Accommodation, Catering
(a) Travel to and from New York
(b) Travel within New York
(c) Accommodation and entertainment
(d) Catering
2 Ancillary Services
13 Challenging and Enforcing International Arbitral Awards in New York
1 Options for the “Winner” and the “Loser” in International Arbitration
2 The Legal Regime Applicable to Actions to Challenge or Enforce International Arbitral Awards in New York
B Procedural Issues Involved in Challenging and Enforcing International Arbitral Awards in New York
1 Actions in the Federal Courts in New York
(a) General procedural considerations
(I) Timing of Application to Confirm or Vacate Award
(II) Form of Application to Confirm or Vacate Award
(III) Service of Application to Confirm or Vacate Award
(IV) Requirement of a Written Arbitration Agreement
(V) Enforcing a Judgment Confirming an Arbitral Award
(b) Subject-matter jurisdiction
(c) Personal jurisdiction
(I) The Need to Establish a Basis for Jurisdiction
(II) Jurisdiction By Consent
(III) Jurisdiction Through Minimum Contacts
(IV) Quasi in Rem Jurisdiction
(d) Establishing venue
(e) Removal of enforcement proceedings from state to federal court
(I) Exception to Well-Pleaded Complaint Rule
(II) Removal Authorized if an Action “Relates to” a Convention Agreement or Award
(III) Timing of Removal
2 Actions in New York State Courts
(a) Form and location of action
C Substantive Issues Involved in Challenging International Arbitral Awards in New York
1 Grounds for Nonrecognition under the New York Convention
(a) Absence of a valid arbitration agreement (Article V(1)(a))
(b) Denial of opportunity to present one’s case (Article V(1)(b))
(c) Excess of authority (Article V(1)(c))
(d) Violations of arbitral procedures or the law of the arbitral situs (Article V(1)(d))
(e) Awards that are not binding or have been set aside (Article V(1)(e))
(f) Awards that address nonarbitrable issues (Article V(2)(a))
(g) Awards that violate public policy (Article V(2)(b))
2 FAA Chapter 1 Grounds for Vacating International Arbitral Awards
(a) Award procured by corruption, fraud, or undue means (Section 10(a)(1))
(b) Partiality or corruption of the arbitrators (Section 10(a)(2))
(c) Failure to adjourn or hear evidence; prejudicial misbehavior (Section 10(a)(3))
(d) Exceeding jurisdiction (Section 10(a)(4))
(e) Manifest disregard of the law
(g) Sanctions for frivolous attacks on arbitral awards
3 New York State Law Grounds for Vacating Awards
4 Choice of Arbitral Law When Resisting Enforcement of an Award Made in the United States
14 Enforcing Awards Involving Foreign Sovereigns
A Introduction: The Unique Characteristics of Arbitrations Involving Sovereigns
B The Legal Regime Applicable to the Enforcement of Arbitral Awards Against Sovereigns in New York
1 Sovereigns Usually Pay Arbitral Awards
2 The Recognition of Awards Rendered Against Sovereigns
(a) Recognition of awards subject to the New York Convention
(b) Recognition of ICSID awards in the United States is “automatic”
(c) A potential alternative track: recognition of a foreign court’s recognition of the award
3 Sovereigns Enjoy Significant Immunities With Respect to the Enforcement of Arbitral Awards Against Them
4 Foreign Sovereigns Are Not Immune From Personal Jurisdiction and Service
C Dealing With the Problem of Recalcitrant States
1 Predispute Protections
2 Prearbitration Attachment
(a) The requirement of explicit waiver
(b) Procedure for prearbitration attachment
3 Interim Measures from the Arbitral Tribunal
4 Prerecognition Attachment and Explicit Waiver
5 Postrecognition Attachment and Execution
6 What Kind of Assets May Be Attached?
(a) Debt and property subject to attachment
(b) Attaching the property of state-owned companies
(c) Garnishment of royalties or taxes
(d) Attachment of trust accounts
Appendix 1 Schedule of International Arbitration Conventions
Appendix 2 Federal Arbitration Act
Ch.1 General Provisions
s.1 “Maritime transactions” and “commerce” defined; exceptions to operation of title
s.2 Validity, irrevocability, and enforcement of agreements to arbitrate
s.3 Stay of proceedings where issue therein referable to arbitration
s.4 Failure to arbitrate under agreement; petition to United States court having jurisdiction for order to compel arbitration; notice and service thereof; hearing and determination
s.5 Appointment of arbitrators or umpire
s.6 Application heard as motion
s.7 Witnesses before arbitrators; fees; compelling attendance
s.8 Proceedings begun by libel in admiralty and seizure of vessel or property
s.9 Award of arbitrators; confirmation; jurisdiction; procedure
s.10 Same; vacation; grounds; rehearing
s.11 Same; modification or correction; grounds; order
s.12 Notice of motions to vacate or modify; service; stay of proceedings
s.13 Papers filed with order on motions; judgment; docketing; force and effect; enforcement
s.14 Contracts not affected
s.15 Inapplicability of the Act of State doctrine
s.16 Appeals
Ch.2 Convention on the Recognition and Enforcement of Foreign Arbitral Awards
s.201 Enforcement of Convention
s.202 Agreement or award falling under the Convention
s.203 Jurisdiction; amount in controversy
s.204 Venue
s.205 Removal of cases from State courts
s.206 Order to compel arbitration; appointment of arbitrators
s.207 Award of arbitrators; confirmation; jurisdiction; proceeding
s.208 Chapter 1; residual application
Ch.3 Inter-American Convention On International Commercial Arbitration
s.301 Enforcement of Convention
s.302 Incorporation by reference
s.303 Order to compel arbitration; appointment of arbitrators; locale
s.304 Recognition and enforcement of foreign arbitral decisions and awards; reciprocity
s.305 Relationship between the Inter-American Convention and the Convention on the Recognition and Enforcement of Foreign Arbitral Awards of June 10, 1958
s.306 Applicable rules of Inter-American Commercial Arbitration Commission
s.307 Chapter 1; residual application
Appendix 3 NY Civil Practice Law and Rules, Article 75
§ 7501 Effect of arbitration agreement
§ 7502 Applications to the court; venue; statutes of limitation; provisional remedies
§ 7503 Application to compel or stay arbitration; stay of action; notice of intention to arbitrate
§ 7504 Court appointment of arbitrator
§ 7505 Powers of arbitrator
§ 7506 Hearing
§ 7507 Award; form; time; delivery
§ 7508 Award by confession
§ 7509 Modification of award by arbitrator
§ 7510 Confirmation of award
§ 7511 Vacating or modifying award
§ 7512 Death or incompetency of a party
§ 7513 Fees and expenses
§ 7514 Judgment on an award
Appendix 4 Supreme Court, New York County Commercial Division, Charles E. Ramos, Justice, International Arbitration Rules (2013) International Arbitration Part Rules—Part 53
Appendix 5 Schedule of Arbitration Rules and Guidelines
Appendix 6 AAA/ABA Code of Ethics for Arbitrators in Commercial Disputes
Note on Neutrality
Canon I: An Arbitrator should Uphold the Integrity and Fairness of the Arbitration Process
Comment to Canon I
Canon II: An Arbitrator should Disclose any Interest or Relationship Likely to Affect Impartiality or which might Create an Appearance of Partiality
Canon III: An Arbitrator should Avoid Impropriety or the Appearance of Impropriety in Communicating with Parties
Canon IV: An Arbitrator should Conduct the Proceedings Fairly and Diligently
Comment to Paragraph G
Canon V: An Arbitrator should make Decisions in a just, Independent and Deliberate Manner
Canon VI: An Arbitrator should be Faithful to the Relationship of Trust and Confidentiality Inherent in that Office
Canon VII: An Arbitrator should Adhere to Standards of Integrity and Fairness when making Arrangements for Compensation and Reimbursement of Expenses
Canon VIII: An Arbitrator may Engage in Advertising or Promotion of Arbitral Services which is Truthful and Accurate
Comment to Canon VIII
Canon IX: Arbitrators Appointed by One Party have a Duty to Determine and Disclose their Status and to Comply with this Code, Except as Exempted by Canon X
Canon X: Exemptions for Arbitrators Appointed by One Party who are not Subject to Rules of Neutrality
A Obligations under Canon I
B Obligations under Canon II
C Obligations under Canon III
D Obligations under Canon IV
E Obligations under Canon V
F Obligations under Canon VI
G Obligations under Canon VII
H Obligations under Canon VIII
I Obligations under Canon IX
Appendix 7 Schedule of New York City Bar Association Arbitration Reports
John Fellas, Hagit Elul
From: International Commercial Arbitration in New York (2nd Edition)
Edited By: James H. Carter, John Fellas
Jurisdiction — Arbitrators — Conduct of proceedings
This chapter addresses the enforcement of agreements to arbitrate, the question of what one party to an international contract should do when the other fails to comply with its agreement to arbitrate. It addresses three basic issues. The first is whether one party can proceed with the arbitration and obtain an enforceable award even if the other party fails to participate in the arbitration. Secondly, the chapter inquires as to whether one party can seek the intervention of the courts to enforce its agreement to arbitrate in the event that the other party to the arbitration agreement refuses to arbitrate or commences litigation notwithstanding its agreement to arbitrate. Finally, the chapter looks into whether one party can obtain damages against the party that has breached its obligation to arbitrate.