Source: https://olrl.ouplaw.com/view/10.1093/law/9780198784807.001.0001/law-9780198784807
Timestamp: 2019-09-16 01:01:42
Document Index: 250110606

Matched Legal Cases: ['Art 14', 'Art 15', 'Art 36', 'Art 14', 'Art 36', 'Art 14']

Oxford Legal Research Library: Practitioner's Handbook on International Commercial Arbitration
Practitioner's Handboo...
Practitioner's Handbook on International Commercial Arbitration (3rd Edition)
Edited by Frank-Bernd Weigand, Antje Baumann
This book provides reports on the arbitration systems and laws of thirteen countries in addition to commentaries on the arbitration rules of the International Criminal Court (ICC), the International Centre for Dispute Resolution (ICDR), the London Court of International Arbitration (LCIA), and UNCITRAL Arbitration Rules as well as on the UNCITRAL Model Law and the New York Convention. This comprehensive overview of the key arbitral jurisdictions and the most important arbitral rules and conventions makes it a unique and indispensable work that belongs on the desk of each practitioner. The book combines a practical approach with in-depth legal research and analyses of important national and international case law. This new edition is written to meet the needs of both the non-specialist lawyer requiring quick and useful information on a particular legal system or set of rules or who is interested in a concise general introduction into the law of international arbitration, and the experienced arbitration practitioner looking for well-founded information on a particular issue.
9780198784807
10.1093/law/9780198784807.001.0001
Frank-Bernd Weigand, editor
Antje Baumann, editor
Practitioner's Handbook on International Commercial Arbitration, 3rd Edition edited by Weigand, Frank-Bernd; Baumann, Antje (21st March 2019)
International Courts, Tribunals and Rules
International Conventions and Rules
I Dispute Resolution in a Globalized World
A Advantages of arbitration
B Brief historical background
II The Arbitration Agreement and its Effects
A Arbitration agreement
(1) Types of arbitration agreements
(2) Essentialia negotii
(3) Validity requirements
(3.1) Formal requirements
(3.2) Substantive requirements (arbitrability)
(4) Termination of the arbitration agreement
(4.1) Mutual consent
(4.2) Unilateral cancellation
(4.3) Fulfilment and impossibility of the objective
(4.4) Termination for cause
(5) Applicable laws
(5.1) Applicable law for the arbitration agreement
(5.2) Applicable law for the question of arbitrability
(5.2.1) Objective arbitrability
(5.2.2) Subjective arbitrability
B Institutional versus ad hoc arbitration
(1) Institutional arbitration
(1.1) What is an institutional arbitration?
(1.2) Advantages
(1.3) Disadvantages
(2) Ad hoc arbitration
(2.1) What is ad hoc arbitration?
(2.2) Advantages
(2.3) Disadvantages
C Place of arbitration
(1) Definition and importance
(2) Parties’ agreement and default place
(3) Criteria for selecting the place of arbitration
D Choice of substantive law
(2) Party autonomy
(3) Limits to party autonomy
(3.1) Mandatory provisions
(3.2) Transnational public policy
(4) Criteria for choosing the substantive law
(4.1) Effectuation of agreement
(4.2) Predictability and stability
(4.3) Accessibility
(4.4) Enforceability
(5) Arbitral tribunal’s determination
(6) Contract terms and trade usages
E Language of arbitration
(1) Legal framework
(3) Criteria for selecting language(s) of arbitration
(3.1) Language skills of the parties
(3.2) The language(s) of the contract or those used in contract negotiation
(3.3) Prospective arbitrators and legal counsel
(3.4) Substantive applicable law
(3.5) Seat of arbitration and location of the object of the contract
(4) Single or multiple languages?
F Jurisdiction of the arbitral tribunal
(1) Effects of a valid arbitration agreement
(1.1) Positive effects
(1.2) Negative effects
(2) Enforceability and enforcement of a valid arbitration agreement
(2.1) Order to compel arbitration
(2.2) Stay and dismissal of litigation
(2.3) Refusal of recognition and enforcement of court judgments
(2.4) Antisuit injunction
(2.5) Other measures
(3) Competence-competence
(3.1) Origin of the term competence-competence and its usage in international arbitration community
(3.2) The principle of competence-competence and its various effects
G Number of arbitrators
(2.1) Lex arbitri
(2.2) Relevant circumstances of the (potential) dispute
(2.3) Priorities and preferences of the parties
(2.4) Potential difficulties in conducting arbitration
A Applicable rules and general structure of arbitral proceedings
(1) Applicable laws, rules, and procedural discretion of the arbitral tribunal
(1.1) Party autonomy as fundamental principle
(1.2) Procedural discretion of the arbitral tribunal
(1.3) Hierarchy of norms
(2) Mandatory procedural principles
(2.1) Safeguarding the minimal standards of procedural fairness and equality
(2.2) Due process
(2.3) Equal treatment of parties
(2.4) Right to be heard or opportunity to present one’s case
(3) Major procedural steps in international arbitration proceedings
B Commencement of arbitral proceedings
(1) Notice of Arbitration or Request for Arbitration
(2) Date of commencement
(3) Legal effects of the commencement of arbitration
(4) Time limits for the commencement of arbitrations
(4.1) Statutory or contractual time limits
(4.2) Effect of expiration of time limit
(4.3) Fulfilment of pre-arbitration procedures
(4.4) ‘Invalid’ commencement
C Constitution of the tribunal
(1) Nomination and appointment of arbitrators
(1.1) Number of arbitrators
(1.2) Nomination, confirmation, appointment
(1.3) Appointment procedure
(2) Qualifications of arbitrators or how to choose the ‘right’ arbitrator
(2.1) Arbitration experience
(2.2) Legal expertise and industry knowledge
(2.3) Professional qualification
(2.4) Availability of arbitrator
(2.5) Language skills and nationality
(3) Impartiality and independence
(3.1) General principle of independence and impartiality
(3.2) Conflict check and disclosure of potential conflicts
(3.3) Objective or subjective test
(3.4) IBA Guidelines on Conflict of Interests in International Arbitration
(4) Challenge of arbitrators
D Major procedural steps
(1) Organization of procedure through the arbitral tribunal
(1.1) Case management conference and procedural timetable
(1.2) Procedural orders
(1.3) Hearings and briefs
(1.4) Court reporting
(1.5) Bifurcation
(2) Defences
(2.1) Jurisdictional objections
(2.2) Substantive objections
(2.2.1) Counterclaims
(2.2.2) Set-off
(3) Multiparty arbitration
(3.1) Intervention and joinder of parties
(3.2) Consolidation
(4) Taking of evidence
(4.1) Attempts to reconcile common and civil law approach to taking of evidence
(4.2) General principles and applicable rules
(4.3) Means of evidence
(4.3.1) Documentary evidence
(4.3.2) Witnesses
(4.3.3) Experts
(4.3.4) Site or subject matter inspections
(5) Post-hearing briefs, settlement attempts, and deliberations by the tribunal
(5.1) Post-hearing submissions
(5.2) Settlement attempts by the tribunal
(5.3) Deliberations
(6) Procedural efficiency—fast-track proceedings and summary judgment
(7) Interim measures ordered by the tribunal
(7.1) Competence of arbitral tribunal to order interim measures
(7.2) What can be protected by way of interim measures?
(7.3) Which requirements must be met?
(7.4) Interim measures ordered by way of procedural order
E Assistance of the courts
(1) Constitution of the arbitral tribunal
(2) Parallel proceedings
(3) Taking of evidence
(4) Interim relief
IV The Award and its Enforcement
(1) Final award
(2) Partial award
(3) Interim award
(4) Consent award
(5) Default award
(6) Additional award
C Making of awards
D Post-award proceedings
(1) Post-award proceedings before the arbitral tribunal
(2) Post-award proceedings before a national competent court
(2.1) Setting aside proceedings
(2.2) Recognition and enforcement proceedings
E Awards on costs
2 Outline for the Country Reports
A Current status of the law on arbitration
B Practice of arbitration
II Jurisdiction of the Arbitral Tribunal
B Arbitrability
C Decision on the arbitral tribunal’s jurisdiction (‘competence-competence’)
D Enforcement of an arbitration agreement within or by court proceedings
A Number and qualification of arbitrators
C Challenge and replacement of arbitrators
IV The Arbitral Procedure
B Place of arbitration
C Submissions, deadlines, and default
D Facts and evidence: general
G Experts
H Interim measures of protection
I Assistance by the courts
V The Award
A Types of award
B Deliberations and agreement on the award
C Form of the award and deposition
D Applicable substantive law
F Costs of the arbitration
G Publication of the award
VI Amendment and Challenge of the Award; Liability of Arbitrators
A Amendment, correction, or interpretation of the award
B Appeal on the merits
C Setting aside of the award
D Liability of arbitrators
VII Enforcement of National Awards
A Requirement of a particular procedure to make an award enforceable (leave for enforcement, exequatur)
B Details of such enforcement procedure (competent court, reasons for rejection of motion, etc)
C Appeal against the decision granting exequatur
D Appeal (and procedure) if exequatur has been refused
E Procedure of enforcement (attachment of bank accounts etc)
VIII Foreign Awards
A Recognition and/or enforcement of foreign awards (national law)
B Recognition and/or enforcement of foreign awards (conventions, treaties)
C Application of the New York Convention
A National legislation
B Arbitral institutions
C Model arbitration clauses and other patterns
(1) Short history
(2) Law in force and future projects
(3) Distinction between national and international arbitration
(3.1) If there are different systems and rules for national/international arbitration: what are the criteria for the distinction between both systems?
(1) Frequency of arbitration as opposed to litigation
(2) Leading arbitral institutions and statistics (if available)
(1) Arbitration clause and submission agreement
(2) Requirements as to the content of the arbitration agreement
(3) Form of the arbitration agreement (eg ‘in writing’ requirement)
(3.1) Are there special requirements for a power of attorney/authority to enter into an arbitration agreement on behalf of a third party?
(4) Incorporation of an arbitration clause contained in general terms and conditions
(5) Law applicable to the interpretation of arbitration clauses
(5.1) Do courts accept a wide competence of the arbitral tribunal or do they restrict arbitral competence? Do claims which arise in connection with the agreement submitted to arbitration generally fall within the arbitral jurisdiction even if based on a tortious legal basis? Does case law exist with respect to the wording in an arbitration clause as ‘arising out of/under/in connection with the present contract’ and its specific meaning?
(6) Binding effect of an arbitration clause on third parties (eg in case of a guarantee or assignment)
(6.1) What is the law/leading authorities’ position on multi-party situations? Especially, (i) with respect to the objection that the arbitration clause does not specifically provide for a plurality of parties in the same procedure; (ii) with respect to the constitution of the arbitral tribunal; (iii) with respect to the consolidation of two or more running arbitration proceedings?
(6.2) Is there case law/authorities with respect to the admissibility of third party participation in an arbitration without being a claimant or defendant (Nebenintervention/Streitverkündung; intervention forcée/volontaire; vouching in; amicus curiae, etc)? What are the prerequisites and effects of such participation (if permitted)?
(7) Termination of an arbitration agreement by a party (reasons and case law)
(1) ‘Personal arbitrability’ (capacity to conclude arbitration agreements)
(1.1) May a state (or state agency) as party invoke sovereign immunity before the arbitral tribunal or before a state court (eg in a procedure of enforcement)?
(2) ‘Objective arbitrability’ (eg of patent, trademark, and antitrust matters)
(1) Separability (independence of the arbitration agreement from the main agreement)
(2) Competence of the tribunal to decide on its own jurisdiction (including form and time of the tribunal’s decision)
(3) Extent of the ‘competence-competence’ and role of the courts (including form and time limits of a challenge of the tribunal’s decision)
(1) Effect of invoking an arbitration clause within a court proceeding (and time limits for such a motion)
(1.1) If a party has invoked successfully the arbitration agreement in a court proceeding, is it then entitled to deny within the arbitral proceeding that there is a valid and binding arbitration agreement?
(1.2) Vice versa, if a party has successfully objected to an arbitral proceeding by denying that there is a valid arbitration agreement, may it then invoke such agreement in the ensuing court proceeding?
(2) Legal remedies and proceedings to enforce an arbitration agreement
(2.1) Which would be the internationally competent court (i) for obtaining a declaration that an arbitration agreement is valid and binding; or (ii) to compel arbitration? (the defendant’s courts? the courts of the place of arbitration?)
(1) Sole arbitrator or arbitral tribunal with several arbitrators
(1.1) Are arbitral tribunals with an even number of arbitrators acceptable?
(2) Qualification of the arbitrators
(2.1) Are there mandatory requirements for the qualification of arbitrators (statutory requirements or indirect requirements through eg general conditions of insurance contracts)?
(2.2) Which national arbitration institutions may be contacted for obtaining information about qualified (and specialized) arbitrators?
(2.3) Are judges or civil servants required to obtain permission by their employer to act as arbitrator? Are these permissions given generally or case by case? What are the consequences if such permission has not been obtained?
(1) Extent of party autonomy to establish appointment procedure
(2) Procedure in absence of an agreement by the parties
(3) Effect of the refusal of one party to cooperate in the constitution of the arbitral tribunal
(4) Circumstances and valid reasons for an arbitrator to resign
(1) Grounds, procedure, and deadlines for challenging an arbitrator
(1.1) Do state courts review challenge procedures which took place in accordance with a specific procedure agreed upon by the parties (eg Art 14 ICC Rules)? If so, at what point in time? May such review be excluded?
(1.2) Is there case law with respect to truncated arbitral tribunals? (cf Art 15(5) ICC Rules)
(2) Procedure for appointing a new arbitrator
(1) Extent of party autonomy to determine the arbitral procedure
(1.1) Are the parties free to choose any national or international law governing the procedure before the arbitral tribunal?
(2) Basic procedural principles or mandatory rules to be applied by the arbitral tribunal
(3) Oral hearing or proceeding on basis of written documents
(4) Power of the tribunal (in particular the chairman) to issue procedural orders
(5) Distinction of matters of substance and matters of procedure
(5.1) Are the statutes of limitations a matter of substance or rather of procedure?
(6) Persons able to represent a party in an arbitral proceeding
(1) Determination of the place of arbitration in absence of an agreement by the parties
(2) Importance and legal effect of place (seat) of the arbitration
(2.1) Are the arbitrators and parties free to convene at other places than the official seat of the arbitration?
(2.2) Are there visa requirements to enter the country that apply to lawyers and/or arbitrators? Where may current information on that subject be obtained?
(1) Contents and form of submissions (in particular Request for Arbitration and Answer to Request)
(1.1) From what point in time is a claim considered to be pending with the arbitral tribunal? What are the legal effects of such fact (eg on statutes of limitations)?
(1.2) When is a time limit according to statutes of limitations deemed to be interrupted in case of (i) ad hoc; and (ii) institutional arbitration?
(1.3) What is the effect of the withdrawal of the Request for Arbitration?
(2) Legal deadlines (provided by law or set by the tribunal) and effect of non-compliance by a party
(2.1) What are the powers of the tribunal if a party fails to comply with the time limits set up by the tribunal?
(2.2) Is the tribunal bound by any mandatory time limits for certain procedural steps (eg hearings, making of the award)?
(3) Statutory requirements as to notifications during an arbitration (with respect to the Request for Arbitration and other written pleadings; with respect to notifications by the tribunal)
(4) Effect of the insolvency of a party
(1) Burden of proof (inquisitorial/adversarial procedure)
(2) Power of the tribunal to determine the admissibility and weight of the evidence produced by the parties
(2.1) Is the tribunal entitled to take the claimant’s factual allegation as proven if the defendant does not participate in the arbitral proceedings?
(2.2) May the arbitral tribunal consider an allegation of one party as agreed fact if the other party did not (specifically) dispute the allegation?
(2.3) What is the standard of proof that must be met in order for a fact to be considered to have been established (preponderance of the evidence; beyond reasonable doubt)? Must a stringent requirement be met for certain facts?
(2.4) May the arbitral tribunal rely on its own knowledge to consider certain facts as proven?
(1) Ability of a person to act as a witness
(1.1) Is there a legal difference between a party testifying and a witness? If yes, what are the criteria for such differentiation? Does the testifying of a party have the same weight as a witness testimony?
(2) Preparation of witnesses and limits thereof
(2.1) Do US-style depositions violate any procedural rules or principles?
(2.2) May a party or its counsel approach a witness whom it has nominated (only before or also after the proceeding has started)? Are interviews permitted?
(3) Admissibility of written witness statements
(3.1) If the parties agree on written statements, is a party entitled to request an oral hearing for questioning those witnesses (provided such right has not been agreed upon)?
(4) Entitlement of a party to have a hearing or cross-examination of witnesses
(4.1) What are the methods used to establish a record of the arbitral proceedings, in particular witness examinations (tape recording, verbatim court reporters, dictated minutes, other methods)?
(4.2) May the arbitral tribunal take an oath from a witness?
(4.3) Does the arbitral tribunal have the power to compel witnesses?
(1) Form and kind of documents to be presented to the arbitral tribunal
(1.1) Is the submission of ‘agreed documents’ permitted? If yes, what is the extent and effect of such an agreement of the parties (authenticity, existence, acknowledgement of such documents’ contents)?
(1.2) How may electronic documents (eg emails) be presented and proven?
(1.3) Does discovery (US or UK style), after the procedure has started, violate any procedural rules or public policy considerations?
(2) Requirement to produce certain documents (as requested by the tribunal) and consequences of a failure to do so
(2.1) Which documents may the tribunal request to be produced (eg also documents which are in the possession of third parties)?
(3) Protection of the confidentiality of documents (legal privilege etc)
(1) Appointment and presentation of experts by the party or the arbitral tribunal
(1.1) By which methods are tribunal-appointed experts selected? What are the rights of the parties during the selection process?
(2) Admissibility and role of expert witnesses
(3) Influence of the parties upon the selection of questions to be submitted to the expert
(4) Independence and impartiality of the expert and the right to reject a proposed/appointed expert
(4.1) May a party or its counsel approach an expert (or expert witness) whom it has nominated (only before or also after the proceeding has started)? Are interviews admissible?
(5) Oral examination of an expert in a hearing
(1) Kind of interim measures which the tribunal may order
(1.1) Which are, in general, the procedural and substantive prerequisites for the ordering of interim and conservatory measures (eg reduced degree of evidence, urgency, summary evaluation of the claim)?
(1.2) Are the prerequisites for interim measures ordered by the arbitral tribunal more or less the same as if those are requested from the state court? Is there case law/leading authorities on whether those measures are faster and enforced more easily if taken by the arbitral tribunal or the state court?
(2) Limits of the tribunal’s powers to order interim measures
(3) Orders to provide security for the costs of the proceeding
(4) Attachment of assets by an order of the tribunal
(1) Extent of court assistance in the gathering of evidence
(1.1) Is it for the arbitral tribunal or for the party to obtain the assistance of state courts with respect to the gathering of evidence?
(1.2) According to case law and practical experience, are there considerable delays involved when asking a court to give assistance (eg for the obtaining of evidence)?
(2) Assistance for enforcing the attachment of assets
(3) Other examples of possible assistance
(4) Dependence of the power of state courts to intervene during the proceedings on the (national) procedural law applied by the arbitral tribunal
(1) Interim award (eg on interim measures or the jurisdiction of the tribunal)
(2.1) Are awards, especially partial awards, binding in the same arbitral proceeding? Does it make a difference if after the rendering of such a partial award, one arbitrator is successfully challenged and removed on grounds that prevailed even before the partial award was rendered?
(3) Final award
(3.1) If a party fails to participate in the arbitration, may the tribunal proceed and issue an award on the merits? Is such an award enforceable as any other award? Are there special remedies for the defendant at the enforcement stage?
(1) Time limits (and possible extensions) for making the award
(2) Procedure for the decision of the arbitrators (majority vote etc)
(2.1) If an arbitrator fails or refuses to take part in oral deliberation meetings, although having been given sufficient notice of such meetings, may an award be rendered on the basis of written deliberations (or deliberations without this arbitrator) only?
(3) Admissibility of dissenting opinions
(3.1) Are there any court decisions or positions of leading authorities on the issue of dissenting opinions (admissibility, disclosure to the parties, and publication)?
(4) Signature by the arbitrators and potential failure of one arbitrator to sign
(1) Form and minimum contents of an award
(2) Requirement to give reasons in the award
(3) Necessity to specify place and time where and when the award was made
(4) Other requirements (registration, delivery, etc)
(4.1) Does the award have to be laid down or registered with a state court or agency (even if it has been rendered according to a foreign procedural law)?
(4.2) Does a foreign award which has been rendered abroad according to this country’s national procedural law, have to be laid down or registered with a state court or agency? Is there a fee or tax for such registration of an award?
(4.3) How long after the rendering of the award must the file/award be stored by the lawyers and the arbitral tribunal?
(1) Party autonomy to choose the applicable substantive law
(1.1) Is there a public policy exception to the chosen substantive law?
(1.2) Does the principle of ‘iura novit curia’ apply? Or must the applicable law be proven (by which means)?
(2) Decisions according to equity or as amiable compositeur
(3) Application of lex mercatoria, general principles, etc
(3.1) Is the application of lex mercatoria considered as the application of law or as a kind of amiable composition?
(4) Applicable substantive law if there is no choice of law by the parties
(4.1) Is there an autonomous conflict of law rule in the national arbitration law? Is it considered mandatory?
(4.2) What is the law applicable to interest?
(4.3) What is the law and practice with respect to legal interest on foreign currency debts?
(5) Binding effect of state court decisions
(5.1) Is an arbitral tribunal bound by a decision of another arbitral tribunal?
(5.2) Does a decision in a criminal case bind an arbitral tribunal?
(1) Settlement by agreement of the parties with or without support of the arbitral tribunal
(1.1) May an arbitrator who has initiated settlement discussions be challenged when agreement on a settlement has failed?
(2) ‘Private settlement’ and its impact on the arbitral procedure
(3) Form and effect of a settlement (eg award on agreed terms)
(1) General allocation of the costs of the proceedings
(2) Deposits or advances for costs or fees
(2.1) Is there case law authorizing or prohibiting arbitrators to order a party to pay an advance on the arbitration costs?
(2.2) May the raising of a set-off claim or counterclaim be made contingent upon payment of the corresponding advance for the relating arbitration costs (cf eg Article 30(5) ICC Rules)? May such a condition be agreed upon when entering into the arbitration agreement?
(2.3) What remedies exist against a party which does not pay its part of the advance on the arbitration costs (eg termination of the arbitration agreement)? How may the other party enforce its rights?
(3) Costs of the administration by an arbitration institution
(4) Arbitrators’ fees: law and practice, judicial control
(4.1) May arbitrators fix their own fees in the award?
(4.2) How can the parties change the arbitrators’ fees once they are fixed?
(4.3) Are the arbitrator’s fees subject to income tax if (i) the place of arbitration; or (ii) the normal residence or place of business of the arbitrator is located in this country?
(4.4) Are arbitrator’s fees submitted to value added tax (VAT)? If yes, is the duty to pay such tax linked to (i) the place of arbitration; or (ii) the arbitrator’s general residence?
(5) Attorneys’ fees and the winning party’s claim for reimbursement
(5.1) May in-house lawyers charge fees or may a party request costs of in-house lawyers to be reimbursed?
(6) Time and form of the decision on costs
(6.1) May the arbitrators’ decision on the costs (allocation and amount of costs to be reimbursed) be challenged separately from the award itself? Are there time limits for such a remedy?
(6.2) Are the arbitrators entitled and/or legally obliged to rule on the amount of one or both parties’ costs that are recoverable?
(1) Publication with or without the consent of the parties
(2) Practice of publication (eg in specific legal journals)
(1) Motion to amend or correct an award
(2) Interpretation of the award by the tribunal
(1) Admissibility and procedure of an appeal on the merits
(1.1) May the parties agree on an appeal to another arbitral tribunal?
(2) Possibility to exclude an appeal (eg in the arbitration clause)
(1) Reasons for setting aside an award
(1.1) May an award made according to international or foreign procedural rules be the object of an application for setting aside before the national courts?
(2) Procedure and deadlines for challenging an award
(2.1) Who may (or must) represent a party in a proceeding for setting aside an award?
(2.2) Do specific time limits exist for setting-aside procedures concerning awards on jurisdiction?
(3) Effect of a court decision which sets the award aside
(3.1) Does the setting-aside action suspend the enforcement? If so, do remedies exist to reinstate enforcement?
(3.2) After an award has been set aside, does the underlying arbitration agreement revive or remain in force or is it exhausted or deemed terminated?
(4) Appeal against the court’s decision to set aside or not set aside the award
(5) Possibility of the parties to exclude actions for setting aside
(1) Duties and liabilities of arbitrators regarding the conduct of the proceedings
(1.1) Do the courts and/or authorities rely on a contractual relationship between the parties and the arbitrator(s), irrespective of whether institutional or ad hoc arbitration is concerned? What is the legal qualification of such a contract (eg provision of services)?
(1.2) Are there court decisions (or authorities) determining which law governs the question of liability of an arbitrator? What is the position of those courts/authorities as to whether and to which extent a legal liability of an arbitrator (or arbitral institution) may be established?
(1.3) Is an arbitrator subject to criminal prosecution?
(2) Possibility to restrict or exclude the arbitrators’ liability
(1) Does the national law make any difference between foreign and domestic awards, and if so, what are the criteria? Does there exist an additional notion of award for the purpose of obtaining exequatur (France: international awards)?
(2) May awards granting conservatory/interim measures be subject to enforcement?
(1) At the stage of enforcement, may the losing party invoke arguments and circumstances which are based on facts which have occurred before (or after) the award was made?
(2) May the losing party invoke a set-off based on claims that are not related to the matter of the arbitral proceeding? Is it material whether such claim came into existence before or after the award was made?
(1) Rules according to national law
(2) Requirements to be fulfilled by the applicant (procedure, time limits)
(3) Remedies against decisions granting or declining enforcement
(1) Specific bilateral or multilateral treaties
(2) Existence of a standard procedure for the enforcement of foreign awards
(3) Extent of examination and review of the award by the court
(1) Application of the New York Convention in practice
(2) Examples of decisions which do not apply the Convention correctly
(2) Requirements as to the contents of the arbitration agreement
(5.1) Do courts accept a wide competence of the arbitral tribunal or do they restrict arbitral competence? Do claims which arise in connection with the agreement submitted to arbitration generally fall within the arbitral jurisdiction even if based on tortious legal basis? Does there exist case law with respect to the wording in an arbitration clause as ‘arising out of/under/in connection with the present contract’ and its specific meaning?
(6.1) What is the law/leading authorities’ position on multi-party situations? Especially, (i) with respect to the objection that the arbitration clause does not specifically provide for a plurality of parties in the same procedure; (ii) with respect to the constitution of the arbitral tribunal; and (iii) with respect to the consolidation of two or more running arbitration proceedings?
(1) Effect of invoking an arbitration clause within court proceedings (and time limits for such a motion)
(2.1) Which would be the internationally competent court: (i) for obtaining a declaration that an arbitration agreement is valid and binding; or (ii) to compel arbitration? (the defendant’s courts? the courts of the place of arbitration?)
(4) Power of the tribunal, especially the chairman, to issue procedural orders
(2.1) Are the arbitrators and parties free to convene at places other than the official seat of the arbitration?
(2.2) Are there visa requirements to enter the country which apply to lawyers and/or arbitrators? Where may current information on that subject be obtained?
(1.1) From what point in time is a claim considered to be pending before the arbitral tribunal? What are the legal effects of such fact (eg on statutes of limitations)?
(1.2) When is a time limit according to statutes of limitations deemed to be interrupted in case of: (i) ad hoc and (ii) institutional arbitration?
(1) Ability to act as a witness
(4.1) Which are the methods used to establish a record of the arbitral proceedings, in particular witness examinations (tape recording, verbatim court reporters, dictated minutes, other methods)?
(1.1) Is the submission of ‘agreed documents’ permitted? If yes, what is the extent and effect of such an agreement (authenticity, existence, acknowledgement of such documents’ contents)?
(3) Protection of confidentiality of documents (legal privilege etc)
(1.1) By which methods are tribunal-appointed experts selected? What are the rights of the parties during the selection of an expert?
(4) Dependence of the power of state courts to intervene during the proceedings on the national procedural law applied by the arbitral tribunal
(1) Interim award (eg on interim measures on the jurisdiction of the tribunal)
(3.1) Are there any court decisions or positions of leading authorities on the issue of dissenting opinions in international arbitration (admissibility, disclosure to the parties, and publication)?
(1) Award in writing and minimum contents of an award
(4.3) How long after the rendering of the award must the file/ award be stored by the lawyers and the arbitral tribunal?
(1.2) Does the principle of iura novit curia apply? Or must the applicable law be proven (by which means)?
(2) Deciding according to equity or as amiable compositeur
(2.2) May the raising of a set-off claim or counterclaim be made contingent upon payment of the corresponding advance for the relating arbitration costs (cf eg Art 36(3) ICC Rules)? May such a condition be agreed upon when entering into the arbitration agreement?
(2.3) What remedies exist against a party which does not pay its part of the advance on the arbitration (eg termination of the arbitration agreement)? How may the other party enforce its rights?
(4.3) Are the arbitrator’s fees subject to income tax if (i) the place of arbitration or (ii) the normal residence or place of business of the arbitrator is located in this country?
(4.4) Are arbitrator’s fees submitted to value added tax (VAT)? If yes, is the duty to pay such tax linked to (i) the place of arbitration or (ii) the arbitrator’s general residence?
(6.1) May the arbitrators’ decision on the costs (allocation and amount of costs to be reimbursed) be challenged separately from the award itself? Are there legal provisions, especially time limits for such a remedy?
(2) Possibility to restrict or exclude such liability
(3.1) If there are different systems and rules for national/ international arbitration: What are the criteria for the distinction between both systems?
(5.1) Do courts accept a wide competence of the arbitral tribunal or do they restrict arbitral competence? Do claims which arise in connection with the agreement submitted to arbitration generally fall within the arbitral jurisdiction even if based on tortuous legal basis? Does there exist case law with respect to the wording in an arbitration clause as ‘arising out of/under/in connection with the present contract’ and its specific meaning?
(6.1) What is the law/leading authorities’ position on multiparty situations? Especially, (i) with respect to the objection that the arbitration clause does not specifically provide for a plurality of parties in the same procedure; (ii) with respect to the constitution of the arbitral tribunal; (iii) with respect to the consolidation of two or more running arbitration proceedings?
(6.2) Is there case law/authorities with respect to the admissibility of third party participation in an arbitration without being a claimant or a defendant (Nebenintervention/Streitverkündung; intervention forcée/volontaire; vouching in; amicus curiae etc)? What are the prerequisites and effects of such participation (if permitted)?
(2.1) Which would be the internationally competent court: (i) for obtaining a declaration that an arbitration agreement is valid and binding, or (ii) to compel arbitration? (the defendant’s courts? the courts of the place of arbitration?
(2.1) Are there mandatory requirements for the qualification of arbitrators (statutory requirements or indirect requirements through, eg, general conditions of insurance contracts)?
(1.1) Do state courts review challenge procedures which took place in accordance with a specific procedure agreed upon by the parties (eg Art 14 ICC Rules)? If so, at which point of time? May such review be excluded?
(1.1) From which point in time is a claim considered to be pending with the arbitral tribunal? What are the legal effects of such fact (eg on statutes of limitations)?
(1.2) When is a time limit according to statutes of limitations deemed to be interrupted in case of (i) ad hoc and (ii) institutional arbitration?
(2.1) Which are the powers of the tribunal if a party fails to comply with the time limits set up by the tribunal?
(1.1) Which are, in general, the procedural and substantive prerequisites for the ordering of interim and conservatory measures (eg reduced degree of evidence; urgency; summary evaluation of the claim)?
(1) Interim award (eg on interim measures or jurisdiction of the tribunal)
(4) Other requirements (registration, delivery etc)
(2.2) May the raising of a set-off claim or counterclaim be made contingent upon payment of the corresponding advance for the relating arbitration costs? (cf eg Art 36(3) ICC Rules)? May such a condition be agreed upon when entering into the arbitration agreement?
(2.3) Which remedies do exist against a party which does not pay its part of the advance on the arbitration costs (eg termination of the arbitration agreement)? How may the other party enforce its rights?
(3.1) Does the setting-aside action suspend the enforcement? If so, do there exist remedies to reinstate enforcement?
(2) Possibility to restrict or exclude the arbitrators liability
(1) Does the national law make any difference between foreign and domestic awards, and if so, which are the criteria? Does there exist an additional notion of award for the purpose of obtaining exequatur (France: international awards)?
C Other institutions
D Model arbitration clauses and other patterns
(1) Standard arbitration clause
(2) Detailed arbitration clause
(3) Standard multi-tier mediation-arbitration clause
(4) Detailed multi-tier mediation-arbitration clause
(5) Eurochamber recommended clauses
(6) Other recommended clauses
(6.1) Dispute resolution clause
6 People’s Republic of China and Hong Kong
(3.1) If there are different systems and rules for national/international arbitration, what are the criteria for the distinction between both systems?
(2) Leading arbitral institutions and statistics
(5.1) Do courts accept a wide competence of the arbitral tribunal or do they restrict arbitral competence? Do claims which arise in connection with the agreement submitted to arbitration generally fall within the arbitral jurisdiction even if based on tortious legal basis? Does there exist case law with respect to the wording in an arbitration clause such as ‘arising out of/under/in connection with the present contract’ and its specific meaning?
(6.2) Is there case law/authorities with respect to the admissibility of third party participation in an arbitration without being a claimant or defendant (Nebenintervention/Streitverkundung; intervention forcée/volontaire; vouching in; amicus curiae etc)? What are the prerequisites and effects of such participation (if permitted)?
(2) ‘Objective arbitrability’ (eg patent, trade mark, and antitrust matters)
(1) Sole arbitrator or arbitral tribunal with several arbitrator
(5.1) Are statutes of limitation a matter of substance or rather of procedure?
(1.2) When is a time limit according to statute of limitations deemed to be interrupted in case of (i) ad hoc; and (ii) institutional arbitration?
(2.1) Is the tribunal entitled to take the claimant’s factual allegations as proven if the respondent does not participate in the arbitration proceedings?
(1.1) Is there a legal difference between a party testifying and a witness? If yes, what are the criteria for such differentiation? Does the testifying of a party have the same weight as a witness’ testimony?
(4.1) Which are the methods used to establish a record of the arbitration proceedings, in particular witness examinations (tape recording, verbatim court reporters, dictated minutes, other methods)?
C Form of award and deposition
(4.1) Is there an autonomous conflict of laws rule in the national arbitration law? Is it considered mandatory?
(4.3) Are the arbitrators’ fees subject to income tax if: (i) the place of arbitration; or (ii) the normal residence or place of business of the arbitrator is located in this country?
(4.4) Are arbitrators’ fees submitted to value added tax (VAT)? If yes, is the duty to pay such tax linked to (i) the place of arbitration; or (ii) the arbitrator’s general residence?
(1.1) Domestic awards
(1.2) Foreign-related awards
(1.3) May an award made according to international or foreign procedural rules be the object of an application for setting aside before the national courts?
(1) Domestic awards
(2) Foreign-related awards
(2) May the losing party invoke a set-off based on claims that are not related to the matter of the arbitral proceeding? Is it material whether such a claim came into existence before or after the award was made?
A Recognition and/or enforcement of foreign awards according to national law rules
(1) Current status
(2) Law in force
(4) Recent trends and developments
(1) Arbitration agreement and submission agreement
(4) Incorporation of an arbitration agreement contained in general terms and conditions
(5) Law applicable to the interpretation of the arbitration agreement
(5.1) Do courts accept a wide competence of the arbitral tribunal or do they restrict arbitral competence? Do claims which arise in connection with the agreement submitted to arbitration generally fall within the arbitral jurisdiction even if based on tortious legal basis? Does there exist case law with respect to the wording in an arbitration agreement as ‘arising out of/under/in connection with the present contract’ and its specific meaning?
(6) Binding effect of an arbitration agreement on third parties (eg in the case of an assignment or guarantee)
(6.1) What is the law/leading authorities’ position on multi-party situations? Especially, (i) with respect to the objection that the arbitration agreement does not specifically provide for a plurality of parties in the same procedure; (ii) with respect to the constitution of the arbitral tribunal; and (iii) with respect to the consolidation of two or more running arbitration proceedings?
(6.2) Is there case law/authorities with respect to the admissibility of third party participation in an arbitration without being a claimant or defendant (Nebenintervention/Streitverkündung; intervention force/volontaire; vouching in; amicus curiae etc)? What are the prerequisites and effects of such participation (if permitted)?
(3) Extent of the ‘competence-competence’ and role of the courts (including form and time limits of challenge to the tribunal’s decision)
(2.1) Which would be the internationally competent court (i) for obtaining a declaration that an arbitration agreement is valid and binding, or (ii) to compel arbitration? (the defendant’s courts? the courts of the place of arbitration?)
(2.3) Are judges or civil servants required to obtain permission from their employer to act as arbitrator? Are these permissions given generally or case-by-case? What are the consequences if such permission has not been obtained?
(1.2) Are the parties free to choose any national or international law governing the procedure before the arbitral tribunal?
(4) Power of the arbitrator (in particular the chairman) to issue procedural orders
(5) Distinction between matters of substance and matters of procedure
(5.1) Are the statutes of limitations a matter of substance or procedure?
(1) Determination of the seat of the arbitration in absence of an agreement by the parties
(2) Importance and legal effect of the seat of the arbitration
(1.2) When is a time limit according to statutes of limitations deemed to be interrupted in case of (i) ad hoc, and (ii) institutional arbitration?
(2.2) Is the tribunal bound by any mandatory time limits for certain procedural steps (eg hearings, making of an award)?
(2.3) Statutory requirements as to the notifications during an arbitration (with respect to the Request for Arbitration and other written pleadings; with respect to notifications by the tribunal)
(3) Effect of insolvency of a party
(2.2) Is the tribunal entitled to take the claimant’s factual allegation as proven if the defendant does not participate in the arbitral proceedings?
(2.3) May the arbitral tribunal consider an allegation of one party as agreed fact if the other party did not (specifically) dispute the allegation?
(2.4) What is the standard of proof that must be met in order for a fact to be considered to have been established (preponderance of the evidence; beyond reasonable doubt)? Must a stringent requirement be met for certain facts?
(2.5) May the arbitral tribunal rely on its own knowledge to consider certain facts as proven?
(2.1) Do US-style depositions violate any procedural rules and principles?
(2.2) May a party or its counsel approach a witness whom it has nominated (only before or also after the proceedings have started)? Are interviews permitted?
(3.1) If the parties agree on written statement, is a party entitled to request an oral hearing for questioning those witnesses (provided such right has not been agreed upon)?
(1) Form and kind of documents to be presented at arbitral tribunal
(2) Requirement to produce certain documents (as requested by the tribunal) and consequences of failure to do so
(1.1) By which methods are tribunal appointed experts selected? What are the rights of the parties during the selection process?
(5) Oral examination of an expert at hearing
(1) Interim awards (eg on interim measures or the jurisdiction of the tribunal)
(2.1) Are awards, especially ‘partial’ awards, binding in the same arbitral proceeding? Does it make a difference if after the rendering of such a partial award, one arbitrator is successfully challenged and removed on grounds that prevailed even before the partial award was rendered?
(3.1) If a party fails to participate in the arbitration, may the tribunal proceed and issue an award on the merits? Is such an award enforceable as any other award? Are there special remedies for the defendant at the enforcement stage, assuming enforcement is sought in England?
(1) Time limits (and possible extension) for making the award
(3.1) Are there any court decisions or positions of leading authorities on the issue of dissenting opinions (admissibility, disclosure to the parties and publication)?
(2) Decisions according to equity, or as amiable compositeur
(3) Application of lex mercatoria, general principles etc
(4.1) Arbitrators fix their own fees in the award?
(4.3) Are the arbitrator’s fees subject to income tax if (i) the place of arbitration; or (i) the normal residence or place of business of the arbitrator is located in this country?
(1) Does the national law make any difference between foreign and domestic awards, and if so, what are the criteria? Does there exist an additional notion of award for the purposes of obtaining exequatur (France: international awards)?
(2) May the losing party invoke a set-off based on claims that are not related to matter of the arbitral proceeding? Is it material whether such claim came into existence before or after the award was made?
(1.1) May a state (or state agency) as party invoke sovereign immunity before the arbitral tribunal or a state court (eg in a procedure of enforcement)?
(2.3) Are judges or other civil servants required to obtain a permission by their employer to act as arbitrator? Are these permissions given generally or case by case? What are the consequences if such permission has not been obtained?
(3) Oral hearing or proceeding on the basis of written documents
(1) Determination of the place of arbitration in the absence of an agreement by the parties
(3) Statutory requirements as to notifications during arbitration (with respect to the Request for Arbitration and other written pleadings; with respect to notifications by the tribunal)
(2.2) May the tribunal consider an allegation of one party as agreed fact if the other party did not (specifically) dispute the allegation?
(3.1) If the parties agree on written witness statements, is a party entitled to request an oral hearing for questioning those witnesses (provided that such right has not been agreed upon)?
(1) Kind of interim measures, which the tribunal may order
(1.2) Are the prerequisites for the interim measures ordered by the arbitral tribunal more or less the same as if those are requested from the state court? Is there case law/leading authorities on whether those measures are faster and enforced more easily if taken by the arbitral tribunal or the state court?
(2) Limits of the tribunal’s power to order interim measures
(4) Attachments of assets by an order of the tribunal
(1.1) Is it for the arbitral tribunal or for the party to obtain the assistance of state courts with respect to gathering evidence?
(4.3) How long after the rendering of the award must a file/award be stored by the lawyers and the arbitral tribunal?
(3) Application of lex mercatoria, general principles, etc.
(4.3) Are the arbitrators’ fees subject to income tax if (i) the place of arbitration or (ii) the normal residence or place of business of the arbitrator is located in this country?
(4.4) Are arbitrator’s fees submitted to VAT? If yes, is the duty to pay such tax linked to (i) the place of arbitration or (ii) the arbitrator’s general residence?
C Setting aside the award
(3) Effect of a court decision, which sets the award aside
(2) Requirements to be fulfilled by the applicants (procedure, time limits)
(1) Specific bilateral and multilateral treaties
(2) Examples of decisions which do not apply the New York Convention correctly
(3) Form of the agreement (eg ‘in writing’ requirement)
(3.1) Are there special requirements for a power of attorney/authority granting the right to enter into an arbitration agreement on behalf of a third party?
(5.1) Do courts accept a wide competence of the arbitral tribunal or do they restrict arbitral competence? Do claims, which arise in connection with the agreement submitted to arbitration, generally fall within the arbitral jurisdiction even if based on tortious legal basis? Does there exist any case law with respect to the wording in an arbitration clause as ‘arising out of/under/in connection with the present contract’ and its specific meaning?
(6.1) What is the law/leading authorities’ position on multiparty situations? Especially (i) with respect to the objection that the arbitration clause does not specifically provide for a plurality of parties in the same procedure; (ii) with respect to the constitution of the arbitral tribunal; and (iii) with respect to the consolidation of two or more running arbitration proceedings?
(6.2) Is there case law/authorities with respect to the admissibility of third party participation in an arbitration without being a claimant or defendant (Nebenintervention/Streitverkündung; intervention forcée/volontaire; vouching in; amicus curiae etc)? What are the prerequisites and effects of such participation (if permitted)?
D Enforcement of an arbitration agreement within or by way of court proceedings
(1.1) If a party has successfully invoked the arbitration agreement in a court proceeding, is it then entitled to deny within the arbitral proceeding that there is a valid and binding arbitration agreement?
(1.2) Vice versa, if a party has successfully objected to an arbitral proceeding by denying that there is a valid arbitration agreement, may it then invoke such agreement in the ensuing proceeding?
(1.1) Do state courts review challenge procedures, which took place in accordance with a specific procedure agreed upon by the parties (eg Art 14 ICC Rules)? If so, at what point in time? May such review be excluded?
(2.3) What is the standard of proof that must be met in order for a fact to be considered to have been established (preponderance of the evidence; beyond reasonable doubt)? Must a stringent requirement be met for certain facts (for which ones)?
(3.1) If the parties agree on written statements, is a party entitled to request an oral hearing for questioning those witnesses (provided such right has not explicitly been agreed upon)?
(2.1) Which documents may the tribunal request to be produced (eg also documents, which are in the possession of third parties)?
(1.2) Are the prerequisites for interim measures ordered by the arbitral tribunal more or less the same as for those requested from the state court? Is there case law/legal authorities on whether those measures are faster and enforced more easily if taken by the arbitral tribunal or the state court?
(2) Partial