Due Process in International Commercial Arbitration.

Intro -- Contents -- Preface to the Second Edition -- Foreword to the First Edition -- Foreword to the Second Edition -- About the Authors -- Abbreviations -- Chapter 1 Due Process and Arbitration -- 1.1 The Origin of Due Process Requirements in Arbitration -- 1.2 How Should Due Process Requirements in Arbitration Be Defined? -- 1.3 The Floating Nature of the Law of Due Process-Analogy to Lex Mercatoria -- 1.4 The Method of Defining Due Process and Lex Proceduralia in Arbitration -- 1.5 Due Process as a Principle of Law -- Chapter 2 The New York Convention as A Starting Point -- 2.1 Introduction -- 2.2 Public Policy ("Ordre Public") as a Ground to Refuse Recognition and Enforcement -- 2.2.1 A Vague Category -- 2.2.2 Procedural Aspects: Just a Right, Not a Duty -- Actions Ex Officio and Sua Sponte -- 2.2.3 What Constitutes Public Policy? -- 2.2.4 ILA on Fundamental Principles -- 2.3 Arbitrability of the Subject Matter -- 2.4 Arbitration Agreement ("Mandate in Concreto") and the Convention -- 2.4.1 Agreement as the Basis of the Procedure -- 2.4.2 Breach of the Procedural Agreement as a Ground to Refuse Recognition and Enforcement -- 2.4.3 Ultra Petita -Matters Beyond the Scope -- 2.4.4 Waiver Doctrine and the Breach of the Procedural Agreement -- 2.5. Incapacity and Invalidity -- 2.5.1 Incapacity of the Party and Invalidity of the Agreement -- 2.5.2 Incapacity of a Person -- 2.5.3 Invalidity of the Arbitration Agreement -- 2.6. Ability to Present One's Case -- 2.6.1 Ability to Present One's Case as a Fundamental General Requirement -- 2.6.2 Ability to Present One's Case According to the Agreement and the Law of the Seat -- 2.7 Award has to be Final ("Condition Subsequent") -- 2.8 Conclusions on the Analysis of Article V of the Convention -- Chapter 3 Arbitration Agreement as the Basis of Jurisdiction.

3.1 Agreement on Basis of Jurisdiction-Mandate in Concreto Based on Mandate in Abstracto -- 3.2 Existence of an Arbitration Agreement -- 3.2.1 The Written Form -- 3.2.2 Competence to Determine Competence -- 3.2.3 The Validity of the Agreement -- 3.3. On Interpretation of the Arbitration Agreement -- 3.3.1 Methods of Interpretation -- 3.3.2 Assignment and Transfer -- 3.3.3 Time Limit for the Award -- 3.3.4 Time Limit in the Arbitration Clause as a Statute of Limitation -- 3.3.5 Guarantor's or Indemnitor's Right to Invoke an Arbitration Agreement -- 3.4 Unconscionability or Unreasonability -- 3.5 The Enforceability of an Arbitration Agreement and Due Process -- 3.5.1 Agreement Defining Due Process? -- 3.5.2 Good Faith of the Parties -- 3.5.3 Possible Action in Case of Disloyalty -- 3.5.4 Non-Respect of the Agreement by the Arbitral Tribunal as Violation of Due Process -- 3.5.5 Manifest Disregard of Agreement and Substantive Law as Violation of Due Process -- 3.5.6 Disregard of Facts as Violation of Due Process -- 3.5.7 "Carte Blanche" Prayer for Relief and Due Process -- 3.6 Arbitration Agreement and Due Process-Summary -- Chapter 4 Aspects of Jurisdiction other than the Agreement -- 4.1 Due Process and Jurisdiction-Problems Related to Aspects Other than the Agreement -- 4.2 Parties to the Proceedings -- 4.3 Arbitrability -- 4.4 Res Judicata -- 4.4.1 De. ning Res Judicata -- 4.4.2 "Effects" of Enforcement Dimensions -- 4.5 Lis Pendens -- 4.5.1 Lis Pendens Doctrine in Arbitration -- 4.5.2 When Are the Proceedings Parallel? Test of Identity or Similarity and the Enforcement Effects Test -- 4.5.3 The Effect of Parallel Proceedings -- 4.6 Forum Non Conveniens -- 4.6.1 Doctrine of Forum Non Conveniens -- 4.6.2 Special Considerations in Arbitration -- 4.7 Conditions Imposed by the Applicable Rules.

4.7.1 Security for Fees and Costs of the Arbitral Tribunal and Institution -- 4.7.2 Security for Attorneys' Fees and Legal Costs of the Parties -- 4.7.3 Security for Loss or Damage -- 4.7.4 Security for the Claims or for the Enforcement of the Award -- 4.8 Conditions Imposed by the Panel within its Autonomy -- 4.9 Conditions Imposed by the Agreement of the Parties: Duty to Mediate or Negotiate -- 4.10 Summary -- Chapter 5 The Panel and Due Process -- 5.1 The Arbitration Panel in the Dispute Resolution Context -- 5.2 The Composition of the Panel -- 5.3 Challenging the Arbitrators -- 5.4 Impartiality and Independence -- 5.4.1 The Requirement of Impartial and Independent Arbitrators -- 5.4.2 The Meaning of Independency and Impartiality in Arbitration -- 5.4.3 Same but Different? The Standard of Impartiality in Arbitration -- 5.4.4 What Constitutes Bias? -- 5.4.5 Duty to Disclose -- 5.4.6 IBA Guidelines-Green, Orange, Red, and Nonwaivable Red Lists -- 5.4.7 Requirement of Impartial Conduct -- 5.5 Waiver -- 5.6 Communication with the Parties -- 5.7 Role of the Secretary -- 5.8 Fees and Costs -- 5.9 Liability -- 5.10 Confidentiality -- 5.11 Summary -- Chapter 6 Due Process Related to Facts and Evidence -- 6.1 The Structure of a Legal Decision: Facts and Due Process -- 6.2 Facts in Legal Decision: Relevance, Sufficiency and Truth -- 6.3 On the Burden of Proof -- 6.4 Role of Arbitral Panel in Establishing the Facts -- 6.4.1 Conflicts of Traditions and Culture -- 6.4.2 Guidance via Consultations -- 6.4.3 Direct Intervention by the Panel -- 6.5 Enforcement of Evidentiary Measures -- 6.5.1 "Toolbox" of Measures for Bringing Evidence into Proceedings -- 6.5.2 "Internal" Orders -- 6.5.3 "External" Orders -- 6.5.4 Fact-Finding by the Arbitrators -- 6.5.5 Organizing the Evidentiary Hearings.

6.5.6 "Entire Agreement Clauses" and Other Agreements on Admissibility of Evidence -- 6.6 Questions and Answers -- 6.7 Discovery -- 6.8 Witnesses -- 6.8.1 Prior to Hearings -- 6.8.2 Language -- 6.8.3 "Nothing but the Truth" -- 6.8.4 Hostility, Evasiveness or Psychological or Emotional Ties -- 6.8.5 Questioning -- 6.8.6 Cross-Examination and Special Arrangements -- 6.8.7 Timing -- 6.8.8 Compensation for Witnesses -- 6.9 Experts -- 6.10 Other Evidence -- 6.11 Summary -- Chapter 7 The Role of the Panel in the Proceedings -- 7.1 Managing the Proceedings -- 7.2 The Panel and the Facts of the Case -- 7.3 Jura Novit Arbiter and the "Burden of Education" -- 7.4 Administration of Remedies and Consultations -- 7.5 Summary -- Chapter 8 Fair Arbitration-Opportunity to Present One's Case -- 8.1 Fair Arbitration -- 8.2 Equality of Arms and Reasonable Opportunity to Present One's Case -- 8.3 Right to a Counsel of One's Choice -- 8.4 Conflict between Timeliness and Opportunity to Present One's Case -- 8.5 Award -- 8.6 Summary -- Chapter 9 Due Process, Lex Proceduralia, Fair Arbitration-Procedural Foundation of Arbitration -- 9.1 The Three Facets: Due Process, Fair Arbitration and Lex Proceduralia -- 9.2 How to Formulate a Due Process Argument -- 9.3 Fairness or Finality? Conflicts of Principles and Goals -- 9.4 Access to Arbitration and Fair Hearing -- List of References -- Appendices -- Index -- A -- B -- C -- D -- E -- F -- G -- H -- I -- J -- L -- M -- N -- O -- P -- R -- S -- T -- U -- V -- W -- X.

Due Process in International Commercial Arbitration, Second Edition aides arbitration counsel and arbitrators alike by identifying a universal procedural approach for international commercial arbitration. Moving beyond institutional or jurisdictionally-specific analysis to a global discussion, this treatise examines and reconciles the principles of international due process as they continue to emerge. This second edition provides two new chapters, including a full chapter on how New York Convention rules apply to arbitration proceedings.

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Electronic reproduction. Ann Arbor, Michigan : ProQuest Ebook Central, 2024. Available via World Wide Web. Access may be limited to ProQuest Ebook Central affiliated libraries.