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International Arbitration and Mediation
A Practical Guide: A Practical Guide
By: Michael McIlwrath, John Savage
Hardcover | 28 January 2010
At a Glance
515 Pages
24.64 x 16.0 x 3.3
Hardcover
$345.05
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Optimising the outcome of disputes connected with international business forms the subject matter of this book. Rather than adopt an idealised approach of pursuing victories at any cost, the authors help parties predict the realistic consequences (and costs) of their decisions and provide a step-by-step guide to opportunities to influence the course of a dispute as it unfolds in its various stages. They discuss techniques for productively resolving disputes through negotiation, mediation, and arbitration, frequently illustrating critical steps through real-world examples drawn from past experiences.
The book is intended as an easily accessible desktop resource for lawyers who regularly counsel businesses when negotiating international deals, and for those who represent the same clients in achieving a successful resolution when disputes emerge.
The text is divided into chapters that follow the life cycle of an international commercial dispute as seen through the eyes of the parties, from when they agree how to resolve disputes in their contracts to the endgame of enforcement. Additionally, the appendices include a number of model submissions for further reference. The practical guidance includes: ;
- How to determine which dispute resolution clauses work best for different international contracts, and how to negotiate those clauses;
- What preliminary steps parties should consider to preserve their rights when a dispute arises;
- Whether and how to appoint counsel;
- When and how to perform an early case assessment (ECA);
- How to organise and conduct international mediations and arbitration proceedings;
- How to enforce (or set aside) arbitral awards; and
- Securing the benefit of additional protections available through investment treaties.
Introduction | p. 1 |
Organisation of This Book | p. 4 |
International Arbitration | p. 5 |
International Mediation | p. 8 |
International Mediation and Arbitration as Risk Mitigators | p. 10 |
The Elements of an International Dispute Resolution Agreement | p. 11 |
Different Sorts of International Dispute Resolution Clauses | p. 12 |
The Basic Components of an International Dispute Resolution Agreement | p. 14 |
The Core of the Arbitration Agreement: Submission of Disputes to Arbitration | p. 15 |
Referral to Arbitration | p. 18 |
The Four Main Variables of an International Arbitration Clause | p. 20 |
The Place (or 'Seat') of Arbitration | p. 21 |
Place of Arbitration and Procedural Law | p. 23 |
Place of Arbitration and the Courts | p. 27 |
Place of Arbitration and Enforceability of Awards | p. 32 |
Good and Bad Places of Arbitration | p. 33 |
Institutions that Administer Arbitration and Mediation and Their Rules | p. 36 |
Nature and Role of Arbitral Institutions | p. 36 |
Which Arbitral Institution to Choose? | p. 39 |
International Chamber of Commerce (ICC) | p. 39 |
International Centre for Dispute Resolution (ICDR) | p. 45 |
London Court of International Arbitration (LCIA) | p. 47 |
Singapore International Arbitration Centre (SIAC) | p. 49 |
International Centre for Settlement of Investment Disputes (ICSID) | p. 51 |
Regional Institutions | p. 53 |
National Institutions | p. 55 |
Ad Hoc Arbitration | p. 62 |
Number of Arbitrators | p. 68 |
Language of the Arbitration | p. 70 |
'Bells and Whistles' | p. 72 |
Joinder and Consolidation | p. 73 |
Requiring Negotiation Prior to Arbitration | p. 77 |
ICC Pre-Arbitral Referee Procedure | p. 78 |
Arbitrator Qualifications | p. 79 |
Procedure and Evidence | p. 80 |
Allocation of Costs | p. 80 |
Time Limits for Award | p. 81 |
Baseball Arbitration | p. 81 |
Waiver of Sovereign Immunity | p. 82 |
Conclusion on Elements of an Arbitration Clause | p. 83 |
Agreements to Mediate before Arbitration | p. 84 |
The Elements of a Mediation Step Clause | p. 85 |
Mediation Institutions | p. 88 |
Negotiating an International Dispute Resolution Agreement | p. 93 |
Attempting to Avoid Negotiation: 'Standard' Dispute Clauses | p. 94 |
Negotiating the Dispute Clause on the Basis of Common Dispute Resolution Values | p. 95 |
Answering Objections to Using Arbitration (Rather than the Courts) | p. 96 |
Arbitration or Litigation: Which Is Better? | p. 97 |
Strategies to Address Resistance to Arbitration | p. 103 |
Answering Objections to Institutional Arbitration | p. 106 |
Answering the Insistence on Arbitration in a Country Without a Reliable Court System | p. 107 |
Mitigating, Quantifying, and Accepting the Risks of Disadvantageous or Imperfect Dispute Resolution | p. 110 |
Spotting the Real Deal-Breakers | p. 113 |
When the Dispute Arises | p. 117 |
Preliminaries Once Litigation is Probable | p. 118 |
Contractual Pre-arbitration Procedures | p. 119 |
Letters Before Action and Preliminary Correspondence | p. 121 |
Privilege and New Document Creation | p. 123 |
Key Employees and Witnesses | p. 124 |
Documents | p. 125 |
Insurance Notifications | p. 129 |
Media | p. 130 |
The Decision Whether to Submit or Respond to a Request for Arbitration | p. 132 |
Claimant or Respondent? | p. 132 |
Alternatives to Commencing Arbitration, or to be Carried Out in Conjunction with Starting Arbitration | p. 132 |
Amending the Dispute Resolution Clause | p. 133 |
Considering and Proposing Informal Resolution Options | p. 133 |
Using Early Evaluation to Quantify the Entire Dispute Risk | p. 134 |
The Nature of an Early Case Assessment (ECA): Predicting the Ultimate Outcome arid the Cost of Getting There | p. 135 |
Gathering Evidence and Assessing the Facts | p. 139 |
Assessing the Legal Merits | p. 144 |
Potential Implications of an ECA on Balance Sheet Accounting (Financial Reserves of Disputes) | p. 144 |
Estimating the Total Cost of the Arbitration and Factors Influencing Costs | p. 146 |
Engaging and Disengaging Counsel | p. 154 |
'In-sourcing' Arbitration Work | p. 154 |
Retaining External Counsel | p. 156 |
Estimating, Budgeting, and Managing Costs of External Counsel | p. 165 |
Disengaging and Replacing External Counsel | p. 170 |
International Settlement Negotiation and Mediation | p. 173 |
Optimising the Settlement Process | p. 176 |
Settlement Goals that Leverage the Uncertainties of a Dispute | p. 177 |
Selling the Idea of Mediation | p. 180 |
Proposing Mediation to the Other Side(s) | p. 182 |
Arb-Med: Combining Mediation and Arbitration | p. 185 |
Finding an International Mediator and Organising the Mediation | p. 187 |
Agreeing on When and Where | p. 187 |
Finding the Right Mediator for the Parties and the Dispute | p. 188 |
Traditional Sources of Information about Potential Mediators | p. 189 |
Mediation and Arbitration Institutions | p. 191 |
Emerging Information Sources: Certification, Directories, and Blogs | p. 192 |
Important Criteria for Identifying a Suitable Mediator | p. 194 |
Mediator Fees | p. 201 |
Affirming the Confidentiality of the Mediation | p. 205 |
Mediation Logistics | p. 207 |
Scheduling Considerations in Delaying or Deferring the Arbitration or Other Binding Dispute Resolution Pending Mediation | p. 208 |
Mediation Advocacy | p. 208 |
Procedural Flexibility of Mediation | p. 209 |
Preparation and Advocacy before the Mediation Begins: Obtaining Settlement Authority and Defining Settlement Objectives | p. 210 |
Position Papers and 'For Mediator's Eyes Only' Memoranda | p. 216 |
Strategic Use of Opening Offers and Counteroffers | p. 217 |
Advocacy at the Plenary Session | p. 218 |
Effective Advocacy during Caucusing Sessions | p. 220 |
Establishing Direct Contact with the Other Side | p. 221 |
Documenting the Settlement | p. 222 |
Concluding without Settlement but Leaving the Door Open | p. 223 |
Common Pitfalls for Advocates in a Mediation | p. 224 |
The Conduct of the Arbitration | p. 225 |
The Preliminary Phase | p. 227 |
Commencing the Arbitration: The Request for Arbitration | p. 227 |
Other Initial Written Submissions: Answer and Reply | p. 236 |
Default Proceedings: When a Party Does Not Participate in the Arbitration | p. 238 |
Early Disposal for Lack of Jurisdiction | p. 241 |
Appointment of Arbitrators | p. 245 |
Drawing up a Shortlist: Obtaining Information about Arbitrator Performance | p. 253 |
Approaching the Candidates | p. 255 |
Interviewing Arbitrator Candidates and Further Due Diligence | p. 255 |
Evaluation and Decision | p. 257 |
Selection of Sole Arbitrator or Chair by Agreement of Parties or Co-arbitrators | p. 257 |
Challenge, Removal, and Replacement of Arbitrators | p. 260 |
Appointment of a Secretary to the Tribunal and the Risk of a 'Fourth Arbitrator' | p. 265 |
Arbitrators' Fees and Expenses | p. 266 |
Preliminary Steps Taken by the Tribunal When Constituted: Procedural Timetable and 'Terms of Reference' | p. 269 |
Time Limits for the Completion of the Arbitration | p. 274 |
Bifurcation (or Early Disposal of Discrete Issues by the Tribunal) | p. 276 |
Fast-Track or Expedited Arbitration | p. 277 |
Urgent or Provisional Measures | p. 280 |
Written Submissions and Evidence | p. 284 |
Written Submissions | p. 285 |
Written Evidence | p. 288 |
Contemporaneous Documents | p. 289 |
Witnesses and Experts | p. 298 |
Witnesses of Fact | p. 298 |
Expert Witnesses | p. 301 |
Tribunal-Appointed Experts | p. 305 |
Court-Appointed Experts | p. 307 |
Inspection of Goods or a Site | p. 307 |
The Hearing Phase | p. 307 |
The Hearing | p. 308 |
Post-hearing Submissions | p. 314 |
The Award Phase | p. 316 |
Deliberations | p. 316 |
The Award | p. 318 |
Correction, Interpretation or Revision of the Award | p. 325 |
Effects of the Award | p. 325 |
After the Arbitration: Challenge, Recognition and Enforcement of the Award | p. 327 |
Challenging International Arbitral Awards | p. 328 |
Types of Challenge | p. 329 |
Procedure for an Action to Set Aside | p. 332 |
Grounds for an Action to Set Aside | p. 335 |
Effects of the Setting Aside of an Award | p. 341 |
Recognition and Enforcement of International Arbitral Awards | p. 342 |
Negotiation and Settlement of International Arbitral Awards | p. 343 |
Recognition versus Enforcement of Foreign Arbitral Awards | p. 345 |
The Legal Framework for Recognition and Enforcement of International Arbitral Awards | p. 346 |
Treaties Concerning Enforcement of International Arbitral Awards | p. 346 |
National Laws on Enforcement of Arbitral Awards | p. 348 |
Administrative Steps before Enforcement Proceedings | p. 349 |
Procedure for Enforcement and Resisting Enforcement | p. 353 |
Grounds for Resisting Enforcement | p. 354 |
Enforcement of Awards set Aside at the Seat of Arbitration | p. 355 |
Sovereign Immunity as a Defence to Enforcement | p. 359 |
Effects of a Refusal to Enforce or Recognise an Award | p. 360 |
Enforcement in Practice | p. 361 |
ICSID and Investment Treaty Arbitration | p. 367 |
Investment Treaty Arbitration | p. 370 |
Which Investors and Investments are Protected by Investment Treaties? | p. 373 |
Investors | p. 373 |
Investments | p. 375 |
What Protections are Offered to Investments Covered by Investment Treaties? | p. 376 |
The Availability of Arbitration to Enforce Treaty Protections | p. 381 |
Types of Conduct for which Parties have sought Redress in Arbitration under Investment Treaties | p. 382 |
Enhancing Investment Treaty Protection when Planning Foreign Business Activities | p. 385 |
ICSID Arbitration | p. 387 |
Glossary of International Arbitration Terms and Abbreviations | p. 397 |
Caseload of Selected Arbitral Institutions | p. 405 |
List of Selected International Arbitration and Mediation Institutions, Rules, Laws, Conventions and Other Instruments | p. 407 |
Model Clauses for Institutional Arbitration | p. 413 |
Model Clause for Ad Hoc Arbitration | p. 415 |
Model Early Case Assessment (ECA) Template | p. 417 |
Suggested Model Request for Arbitration for ICC Arbitration | p. 419 |
Model Answer to Request for Arbitration [and Counterclaim] for ICC Arbitration | p. 425 |
Suggested Model Terms of Reference for ICC Arbitration | p. 431 |
Suggested Model Provisional Timetable for ICC Arbitration | p. 437 |
Suggested Model Request to Produce Documents for ICC Arbitration | p. 441 |
Suggested Model Privilege Log for ICC Arbitration | p. 445 |
Suggested Model 'Redfern Schedule' for ICC Arbitration | p. 447 |
Bibliography | p. 449 |
Netherlands Model Bilateral Investment Treaty | p. 463 |
US Model BIT | p. 471 |
Index | p. 507 |
Table of Contents provided by Ingram. All Rights Reserved. |
ISBN: 9789041126108
ISBN-10: 9041126104
Series: Kluwer Law International
Published: 28th January 2010
Format: Hardcover
Language: English
Number of Pages: 515
Audience: Professional and Scholarly
Publisher: WOLTERS KLUWER LAW & BUSINESS
Country of Publication: NL
Dimensions (cm): 24.64 x 16.0 x 3.3
Weight (kg): 0.98
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