International Arbitration: Commercial and Investment Treaty Law and Practice

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This book explores the different facets & types of int'l arbitration agreements, walking through the subject of investment treaty arbitration in detail and the legal framework which it takes place.

For international business transactions, international arbitration is the dispute resolution mechanism of choice. While not without room for improvement, international commercial arbitration offers distinct advantages over litigating in the public courts of one’s counterparty, including a neutral forum, control over the selection of arbitrators, and a final, enforceable and transportable award. Other advantages include relative confidentiality and the opportunity to tailor the proceedings to the needs of the parties. 

The book International Arbitration: Commercial and Investment Treaty Law and Practice by Elliot Polebaum explores the different facets and types of international arbitration agreements, including the consequences of what the parties have provided or failed to provide. The book also discusses the different stages of an arbitration proceeding, including initiation of the case, constitution of the tribunal, interim measures, discovery, pre-hearing submissions, the hearing on the merits, awards, and annulment and enforcement proceedings. The legal framework in which all of this transpires—international conventions, national arbitration laws, arbitration rules, and the business agreement between the parties—is also considered.

Additionally, the book takes up the subject of investment treaty arbitration in detail.  Foreign investors have a strong preference to resolve their investment disputes with States in a  neutral arbitral forum rather than in the State’s own courts.  This book addresses the legal framework within which these investment treaty arbitrations take place, including discussion of the terms of investment treaties, and the jurisdiction and procedure of investment treaty arbitrations under the auspices of the International Centre for Settlement of Investment Disputes in particular.  The book also explores the substantive grounds of investors’ treaty claims against States,  States’ defenses and counterclaims, remedies, and annulment and enforcement of investment awards. 

Additional Information
SKU 734ONL
Division Name Law Journal Press
Volumes 0
Product Types Books
Brand Law Journal Press
Publication Date June 26, 2015
Jurisdiction National
ISBN 978-1-58852-391-4
Page Count 766
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Elliot E. Polebaum

Elliot E. Polebaum is an independent arbitrator and an internationally recognized authority in international arbitration. He was previously a partner at Fried Frank Harris Shriver & Jacobson LLP where he established the International Arbitration Practice Group and then led the Group for twenty-five years.

He regularly sits as an arbitrator in both administered and ad hoc cases, and has appeared as counsel before international arbitration tribunals throughout the world in both commercial and investment treaty disputes.

Mr. Polebaum has been consistently recognized by Chambers USA: America’s Leading Lawyers for Business in International Arbitration and has been described as “a lawyer with superb writing skills,” outstanding on his feet,” “always meticulously prepared” and “bring[ing] a wealth of experience to the table. He has also been consistently recognized by Legal 500 in Litigation: International Arbitration.

In addition to his work as an arbitrator in international cases, he is Adjunct Professor of Law at Georgetown University Law Center where he has taught international arbitration since 2005.

Early in his career, Mr. Polebaum served as law clerk to U.S. Supreme Court Justice William J. Brennan, Jr., and U.S. Circuit Judge James L. Oakes.

He is a magna cum laude, Phi Beta Kappa graduate of Middlebury College, received an M.P.A. from Harvard University, and received a J.D. from New York University School of Law where he was Managing Editor of the Law Review.

TABLE OF CONTENTS

CHAPTER 1

International Arbitration

§ 1.01         Introduction

CHAPTER 2

The Legal Framework of International Arbitration

§ 2.01    ChapterContents

§ 2.01         Introduction

§ 2.02         InternationalConventions

[1]          HistoricalPrecedents to the New York Convention

[a]          The GenevaProtocol

[b]          The GenevaConvention

[2]          New YorkConvention

[a]          Background

[b]          Elements ofthe New York Convention

[3]          OtherInternational Conventions

[a]          EuropeanConvention

[b]          Conventionon the Settlement of Investment Disputes Between States and Nationals of OtherStates (Washington Convention)

[c]           Inter-AmericanConvention on International Commercial Arbitration

§ 2.03         NationalArbitration Laws

[1]          UNCITRALModel Law

[a]          Agreement toArbitrate

[b]          ArbitratorAppointment

[c]           Conduct ofProceedings

[d]          InterimMeasures

[e]          Annulment

[f]           Recognitionand Enforcement of Arbitral Awards

[2]          FederalArbitration Act

[a]          Agreement toArbitrate

[b]          ArbitratorAppointment

[c]           Conduct ofProceedings

[d]          InterimMeasures

[e]          Annulment

[f]           Recognitionand Enforcement of Arbitral Awards

[3]          EnglishArbitration Act of 1996

[a]          Agreement toArbitrate

[b]          ArbitratorAppointment

[c]           Conduct ofProceedings

[d] Interim Measures

[e] Annulment

[f] Recognition and Enforcement of Arbitral Awards

[4]          SwissPrivate International Law

[a]          Agreement toArbitrate

[b]          ArbitratorAppointment

[c]           Conduct ofProceedings

[d]          InterimMeasures

[e]          Annulment

[f]           Recognitionand Enforcement of Arbitral Awards

§ 2.04         Institutionaland Ad Hoc Arbitration Rules and Procedures

[1]          InternationalChamber of Commerce

[2]          InternationalCentre for Dispute Resolution

[3]          London Courtof International Arbitration

[4]          UNCITRALRules for Ad Hoc Arbitrations

[5]          OtherInstitutions and Rules

§ 2.05         SubstantiveLaw

[1]          Selected by theParties

[2]          Determinedby the Tribunal

§ 2.06         TheContract Between the Parties

CHAPTER 3

The Agreement to Arbitrate

§ 3.01         Necessityof an Agreement in Writing

§ 3.02         FormalRequirements

[1]          Requirementof a Written Agreement

[a]          WritingRequirement under Arbitration Conventions

[b]          WritingRequirement under National Legislation

[2]          Applicationto Existing or Future Disputes

[3]          Requirementof a Legal Relationship

§ 3.03         LegalCapacity

§ 3.04         ArbitrationClause/Submission Agreement

§ 3.05         Separabilityof the Arbitration Clause

[1]          Sources ofthe Separability Doctrine

[2]          Applicationof the Separability Doctrine

[3]          Effect ofSeparability on Applicable Law

§ 3.06         Competence-Competence

[1]          Competence-CompetenceDistinguished from Separability

[2]          Timing ofArbitrators’ Ruling

[3]          Timing ofCourt’s Ruling

[4]          Level ofCourt Scrutiny

[5]          JudicialReview of Arbitrator’s Competence-Competence Ruling

[6]          Competence-CompetenceUnder U.S. Law

[a]          Competence-CompetenceUnder the FAA

[b]          SupremeCourt Decisions on Competence-Competence

[c]           Lower CourtDecisions on Competence-Competence

§ 3.07         Scope

[1]          Language ofArbitration Clause

[2]          PresumptionsRegarding the Agreement to Arbitrate

[a]          Applicabilityof Arbitration Agreements to Non-Contractual Claims

[b]          Scope ofArbitration Agreement in Multi-Contract Disputes

§ 3.08         Arbitrability

[1]          Sources ofthe Arbitrability Doctrine

[2]          BroadNotions of Arbitrability

[3]          Exceptionsto Arbitrability

[a]          BankruptcyDisputes

[b]          IntellectualProperty Disputes

[c]           Other Exceptionsto Arbitrability

§ 3.09         DefectiveClauses

[1]          InconsistentArbitration Clauses

[2]          IndefiniteArbitration Clauses

CHAPTER 4

Agreement to Arbitrate

§ 4.01         Validityand Scope of Arbitration Agreement

§ 4.02         Ad Hoc versus Administered Arbitration

[1]          Ad Hoc Arbitration

[2]          Administered/InstitutionalArbitration

§ 4.03         Constitutingthe Arbitral Tribunal

[1]          Number ofArbitrators

[2]          SelectionProcess

[3]          ArbitratorQualifications

§ 4.04         Seat of theArbitration

§ 4.05         Choice ofSubstantive Law

§ 4.06         Languageof The Arbitration

§ 4.07         OtherProvisions

[1]          Discovery/DisclosureProcedures

[2]          Multi-TieredDispute Resolution Clauses

[3]          Allocationof Legal Costs and the Costs of the Arbitration

[4]          Fast-TrackArbitration

[5]          Confidentialityof Arbitration Proceedings

CHAPTER 5

The Parties to International Arbitral Proceedings

§ 5.01         TheParties to an Arbitration Agreement

§ 5.02         Non-Signatories

[1]          Agency

[a]          Agent’s Authorityto Bind the Principal

[b]          The Applicabilityof the Arbitration Clause to an Agent

[2]          ImpliedConsent/Assumption

[a]          ConsentImplied by a Party’s Involvement with the Underlying Contract

[b]          ConsentImplied by a Party’s Conduct after a Dispute Arises

[3]          Alter Egoand Piercing the Corporate Veil

[a]          Fraud orOther Wrong

[b]          Domination/Control

[4]          Group ofCompanies Doctrine

[a]          Group ofCompanies vs. Piercing the Corporate Veil

[5]          LegalSuccession

[6]          Estoppel

[7]          Assignmentand Novation

[8]          Subrogation

[9]          Third PartyBeneficiaries

[10]        Guarantors

[11]        IncorporationBy Reference

[12]        Joint VentureLiability

§ 5.03         Multi-Party/Multi-ContractDisputes

[1]          GeneralRequirement of Consent

[2]          RulesGoverning Consolidation

[3]          RulesGoverning Joinder/Intervention

§ 5.04         ClassArbitrations

[1]          Need forConsent to Class Arbitration

[2]          Prohibitionor Waiver of Class Arbitration

CHAPTER 6

Choice of Law

§ 6.01         Choice ofLaw in the Presence of a Choice-of-Law Clause

[1]          Applicabilityto Conflict-of-Laws Rules 

[2]          Applicabilityto Contract Issues

[3]          Applicabilityto Extra-Contractual Causes of Action

[4]          Applicabilityto Procedural Issues

[5]          Applicabilityto the Agreement to Arbitrate

[6]          Challengingthe Choice-of-Law Clause

[7]          The“Mandatory Law/Public Policy” Exception

§ 6.02         Choice of Substantive Law in theAbsence of a Choice-of-Law Clause

[1]          Tribunal HasBroad Power to Select Applicable Law

[2]          Choice ofLaw Principles Applied by International Tribunals

[3]          Tribunal’sPower to Act as Amiable Compositeuror to Decide Ex Aequo et Bono

§ 6.03         Choice ofProcedural Law

[1]          The Seat ofArbitration Generally Controls

[2]          TheProcedural Law / Substantive Law Distinction

[3]          The Parties’Agreement on Procedural Law

CHAPTER 7

The Arbitral Tribunal

§ 7.01         Importanceof the Arbitral Tribunal

§ 7.02         Constitutingthe Tribunal

[1]          Number ofArbitrators

[2]          Selection ofSole Arbitrator

[3]          Selection ofArbitration Panel

[4]          Considerationsin the Appointment and Confirmation of Arbitrators

[5]          TribunalSelection in Multiparty Cases

[6]          ExpeditedFormation and Emergency Arbitrators

§ 7.03         Duties andRights of Arbitrators

[1]          Duty toDisclose 

[2]          Duty ofIndependence and Impartiality

[a]          Arbitrator’sRelationships with a Party

[b]          Arbitrator’sRelationships with the Parties’ Lawyers

[c]           ArbitratorEx Parte Communications with a Party

[d]          RepeatArbitrators

[e]          OtherSituations

[3]          Other Duties

[4]          Rights ofArbitrators

[a]          Right toRemuneration

[b]          Right toImmunity

[c]           Right toDirect the Proceedings

§ 7.04         Challengeand Replacement of Arbitrators

[1]          ChallengeProcedures

[2]          Waiver

[3]          ReplacementDuring the Proceedings

§ 7.05         Disqualificationof Counsel

[1]          The Hrvatska and Rompetrol Decisions

[2]          Rules andGuidelines Related to the Removal or Preclusion of Counsel

[3]          The Approachto Removal of Counsel in Other Jurisdictions

CHAPTER 8

Intervention of National Courts in Aid of Arbitration

§ 8.01         Overview

§ 8.02         Principleof Non-Interference

§ 8.03         Constitutionof the Tribunal

[1]          ArbitrationRules

[2]          InternationalConventions

[a]          New YorkConvention

[b]          EuropeanConvention on International Commercial Arbitration

[c]           ICSIDConvention

[d]          Inter-AmericanConvention

[3]          NationalArbitration Laws

[a]          UNCITRALModel Law

[b]          UnitedStates: Federal Arbitration Act

[c]           EnglishArbitration Act of 1996

[d]          Swiss PrivateInternational Law Act of 1987

[e]          OtherJurisdictions

§ 8.04         Removaland Replacement of an Arbitrator

[1]          InternationalConventions

[2]          NationalArbitration Laws

[a]          UNCITRALModel Law

[b]          UnitedStates: Federal Arbitration Act

[c]           EnglishArbitration Act of 1996

[d]          SwissPrivate International Law Act of 1987

[e]          OtherJurisdictions

[3]          ArbitrationRules

§ 8.05         Motions toCompel or Stay Arbitration

[1]          New YorkConvention

[2]          NationalArbitration Laws

[a]          UNCITRALModel Law

[b]          UnitedStates: Federal Arbitration Act

[c]           EnglishArbitration Act of 1996

[d]          SwissPrivate International Law Act of 1987

[e]          OtherJurisdictions

§ 8.06         Anti-SuitInjunctions

[1]          InternationalConventions

[a]          New YorkConvention

[b]          Jurisdictionin the European Union

[2]          NationalArbitration Laws

[a]          UnitedStates

[b]          UnitedKingdom

[c]           Switzerland

[d]          OtherJurisdictions

§ 8.07         InterimMeasures

[1]          Types ofInterim Measures

[a]          To Take andPreserve Evidence

[b]          To Preservethe Status Quo

[c]           To Preventthe Transfer or Dissipation of Assets

[2]          InternationalConventions

[a]          New YorkConvention

[b]          EuropeanConvention on International Commercial Arbitration

[c]           InternationalCentre for the Settlement of Investment Disputes (ICSID) Convention

[d]          Inter-AmericanConvention

[3]          NationalArbitration Laws

[a]          UNCITRALModel Law

[b]          UnitedStates: Federal Arbitration Act

[c]           EnglishArbitration Act of 1996

[d]          SwissPrivate International Law Act of 1987

[e]          OtherJurisdictions

[4]          ArbitrationRules

[a]          ICC Rules

[b]          UNCITRALArbitration Rules

[c]           Other

[5]          Enforcementof Tribunal’s Interim Measures

§ 8.08         Discovery

[1]          Types ofDiscovery Aids

[2]          NationalArbitration Laws

[a]          UNCITRALModel Law

[b]          UnitedStates: Federal Arbitration Act and Other Statutes

[i]        9 U.S.C. § 7

[ii]       28 U.S.C. §1782

[iii]      Other Statutes

[c]           EnglishArbitration Act of 1996

[d]          SwissPrivate International Law Act of 1987

[e]          OtherJurisdictions

[3]          ArbitrationRules

§ 8.09         Attendanceof Witnesses

[1]          UNCITRALModel Law

[2]          UnitedStates: Federal Arbitration Act

[3]          EnglishArbitration Act of 1996

[4]          SwissPrivate International Law Act of 1987

CHAPTER 9

The Arbitral Process

§ 9.01         Overview

§ 9.02         ProceduralAutonomy

[1]          Authorityfor Procedural Autonomy

[a]          InternationalConventions

[b]          NationalArbitration Laws

[c]           ArbitrationRules

[c]           ArbitrationRules

[2]          Limits toProcedural Autonomy

[a]          Fairness andEquality

[b]          Efficiencyand Cost Effectiveness

[c]           NationalLaws

[3]          DeterminingProcedure in Practice

[a]          Timing

[b]          BlendingProcedural Traditions

§ 9.03         Requestfor Arbitration

[1]          Contents

[2]          Service andTiming

§ 9.04         Answerand Counterclaims

[1]          Content

[2]          Timing andContent of Counterclaims

§ 9.05         FirstMeeting

[1]          Content

[a]          Language andSeat of the Arbitration

[b]          Advance onCosts

[c]           ProceduralTimetable

[2]   &nbs

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