Redfern and Hunter on International Arbitration 6th Edition by Nigel Blackaby, Constantine Partasides, Alan Redfern, Martin Hunter ISBN 0198714246 9780198714248

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ISBN 10: 0198714246
ISBN 13: 9780198714248
Author: Nigel Blackaby, Constantine Partasides, Alan Redfern, Martin Hunter

This leading commentary on international commercial arbitration, now in its sixth edition, is an essential guide for arbitrators, lawyers, and students. Based on the authors’ extensive experience as counsel and arbitrators, it provides an updated explanation of all elements of the law and practice of arbitration.
This text provides an authoritative guide to the international arbitral process, from the drafting of the arbitration agreement to the enforcement of arbitral awards. The sixth edition has been updated to incorporate reference to the latest significant developments in the field such as the new LCIA, ICC and UNCITRAL Rules and new IBA Guidelines. There will also be an increased reference to international arbitral authority and practice from beyond Europe (China, India, and the US).
Following the chronology of an arbitration, the book covers applicable laws, arbitration agreements, the establishment and powers of a tribunal, the conduct of proceedings and the role of domestic courts. In addition, it provides an in-depth examination of the award itself, and comments on the special considerations applying to arbitrations brought under investment treaties. It draws on examples of the rules and practice of arbitration at the International Chamber of Commerce, the London Court of International Arbitration, the American Arbitration Association, the International Centre for Settlement of Investment Disputes and the United Nations Commission on International Trade Law.

Redfern and Hunter on International Arbitration 6th Table of contents:

1. Introduction

A. G lobal Dispute Resolution

B. Outline of an International Arbitration

(a) The agreement to arbitrate

(b) The place of arbitration

(c) Commencement of an arbitration

(d) Appointment of the arbitral tribunal

(e) The arbitral proceedings

(f) Ending the dispute: settlement or arbitral award

(g) Enforcement of an award

C. The Legal Framework of International Arbitration

(a) The object of international arbitration

(b) What is meant by the word ‘international’?

(c) What is meant by the word ‘commercial’?

(d) The legal rules applicable to international arbitration

(e) Is international arbitration autonomous?

(f) National law and international conventions

(g) The role of international conventions and the Model Law

D. ADR, Litigation, and Arbitration

(a) Mediation

(b) Multi- tiered dispute resolution provisions

(c) The advantage of arbitration

(d) Disadvantages of international arbitration

E. Ad hoc Arbitration and Institutional Arbitration

(a) Ad hoc arbitration

(b) Institutional arbitration

(c) General considerations

(d) Selection of arbitrators by the institution

(e) Costs

F. Differentiating the Institutions

G. The Future of International Arbitration

(a) The concept of arbitration

(b) The standard form clause

(c) The business perspective

(d) Investment arbitration

(e) Other specialist forms of arbitration

(f) An arbitration bar

2. Agreement to Arbitrate

A. O verview

(a) Introduction

(b) Categories of arbitration agreement

(c) International conventions

(d) International standards

B. Validity of an Arbitration Agreement

(a) Formal validity— need for writing

(b) A defined legal relationship

(c) A subject matter capable of settlement by arbitration

C. Parties to an Arbitration Agreement

(a) Capacity

(b) Third parties to the arbitration agreement

(c) Joinder and intervention

D. Analysis of an Arbitration Agreement

(a) Key elements

(b) Separability

(c) Summary

E. Arbitrability

(a) Introduction

(b) Categories of dispute for which questions of arbitrability arise

(c) Summary

F. Confidentiality

(a) Privacy and confidentiality

(b) Confidentiality— classical position

(c) Confidentiality— the current trend

(d) Award

(e) Confidentiality in investor– state arbitrations

(f) Revisions to rules of arbitration

(g) Summary

G. Defective Arbitration Clauses

(a) Inconsistency

(b) Uncertainty

(c) Inoperability

H. Waiver of the Right to Arbitrate

I. Multiparty Arbitrations

(a) Introduction

(b) Court- ordered consolidation

(c) Consolidation by consent

(d) Concurrent hearings

(e) Class arbitrations

3. Applicable Laws

A. O verview

(a) Introduction

(b) A complex interaction of laws

B. Law Governing the Agreement to Arbitrate

(a) Introduction

(b) The applicable choice of law rules

(c) The law of the contract as the applicable law of the arbitration agreement

(d) Law of the seat of the arbitration

(e) Delocalisation— a French ‘third way’

(f) Combining several approaches— a Swiss model

C. Law Governing the Arbitration

(a) Introduction

(b) What is the lex arbitri?

(c) Seat theory

(d) Where an award is made

(e) Delocalisation

D. Law Applicable to the Substance

(a) Introduction

(b) Autonomy of the parties

(c) The choice of applicable substantive law

E. Conflict Rules and the Search for the Applicable Law

(a) Introduction

(b) Implied or tacit choice

(c) Choice of forum as choice of law

(d) Conflict rules

(e) Does an international arbitral tribunal have a lex fori?

(f) International conventions, rules of arbitration, and national laws

(g) Conclusion

F. Specific Issues, Other Applicable Rules, and Guidelines

(a) Legal privilege

(b) Ethical rules

(c) Guidelines

4. Establishment and Organisation of an Arbitral Tribunal

A. I ntroduction

B. Commencement of an Arbitration

(a) Introduction

(b) Commencement of an arbitration under institutional rules

(c) Commencement of an ad hoc arbitration under the applicable law

C. Emergency Arbitrators

D. How Many Arbitrators?

(a) Introduction

(b) Sole arbitrators

(c) Three arbitrators

(d) More than three arbitrators

E. Appointment of Arbitrators

(a) Agreement of the parties

(b) Appointment by arbitral institutions

(c) List system

(d) Appointment by co- arbitrators of the presiding arbitrator

(e) Professional institution

(f) National courts

(g) Appointing authority

(h) Designation by the Secretary- General of the PCA

F. Qualities Required in International Arbitrators

(a) Introduction

(b) Restrictions imposed by the contract

(c) Restrictions imposed by the applicable law

(d) Professional qualifications

(e) Language

(f) Experience, diversity, and outlook

(g) Availability

(h) Nationality

(i) Education and training

(j) Interviewing prospective arbitrators

G. Independence and Impartiality of Arbitrators

(a) Introduction

(b) Disclosure

(c) Repeat appointments

H. Challenge and Replacement of Arbitrators

(a) Introduction

(b) Grounds for challenge

(c) Procedure for challenge

(d) Principal bases for challenge

(e) Conflict waiver

(f) Conclusion on challenges

(g) Filling a vacancy

(h) Truncated tribunals

(i) Procedure following the filling of a vacancy

I. Organisation of the Arbitral Tribunal

(a) Introduction

(b) Meetings and hearings

(c) Administrative aspects

(d) Other considerations

(e) The tribunal secretary

J. Fees and Expenses of the Arbitral Tribunal

(a) Introduction

(b) Who fixes the fees?

(c) Methods of assessing fees

(d) Negotiating arbitrators’ fees

(e) Commitment or cancellation fees

(f) Expenses of the arbitral tribunal

(g) Securing payment of the fees and expenses of the arbitral tribunal

5. Powers, Duties, and Jurisdiction of an Arbitral Tribunal

A. B ackground

(a) Introduction

(b) Practical considerations

B. Powers of Arbitrators

(a) Introduction

(b) Sources of arbitrators’ powers

(c) Common powers of arbitral tribunals

(d) Supporting powers of the courts

C. Duties of Arbitrators

(a) Introduction

(b) Duties imposed by the parties

(c) Duties imposed by law

(d) Ethical duties

D. Jurisdiction

(a) Introduction

(b) Challenges to jurisdiction

(c) Autonomy (or separability) of the arbitration clause

(d) Court control

(e) Procedural aspects of resolving issues of jurisdiction

(f) Options open to the respondent

(g) International agreements on the jurisdiction of national courts

6. Conduct of the Proceedings

A. O verview

(a) Introduction

(b) Party autonomy

(c) Limitations on party autonomy

(d) International practice

(e) Procedural shape of a typical international arbitration

B. Expedited Procedures

(a) Introduction

(b) Expedited formation

(c) Fast- track procedures

(d) Early, or summary, determinations

C. Preliminary Steps

(a) Introduction

(b) Preliminary issues

D. Written Submissions

(a) Introduction

(b) Terminology

(c) Time and length limits

E. Collecting Evidence

(a) Introduction

(b) Categories of evidence

(c) Documentary evidence

(d) Fact witness evidence

(e) Experts

(f) Inspection of the subject matter of the dispute

F. Hearings

(a) Introduction

(b) Organisation of hearings

(c) Procedure at hearings

(d) Default hearings

G. Proceedings After the Hearing

(a) Introduction

(b) Post- hearing briefs

(c) Introduction of new evidence

7. Role of National Courts during the Proceedings

A. I ntroduction

(a) The increasing independence of arbitration

(b) Limitations on independence

(c) ‘A relay race’

B. At the Beginning of the Arbitration

(a) The enforcement of the arbitration agreement

(b) Establishing the arbitral tribunal

(c) Challenges to jurisdiction

C. During the Arbitral Proceedings

(a) Interim measures— powers of the arbitral tribunal

(b) Interim measures— powers of the competent court

(c) Measures relating to the attendance of witnesses

(d) Measures related to the preservation of evidence

(e) Measures related to documentary disclosure

(f) Measures aimed at preserving the status quo

(g) Interim relief in respect of parallel proceedings

(h) Court enforcement of tribunal- ordered interim measures

D. At the End of the Arbitration

E. Conclusion

8. Arbitration under Investment Treaties

A. I ntroduction

B. Jurisdictional Issues

(a) Existence of an applicable treaty

(b) Protected investors

(c) Protected investments

(d) Consent and conditions to access investment treaty arbitration

(e) Bilateral investment treaties and contractual dispute resolution clauses

(f) Parallel claims before local courts

C. Law Applicable to the Substance of the Dispute

D. Merits of the Dispute

(a) No expropriation without prompt, adequate, and effective compensation

(b) ‘Fair and equitable treatment’ and the international minimum standard

(c) Full protection and security

(d) No arbitrary or discriminatory measures impairing the investment

(e) National and ‘most favoured nation’ treatment

(f) Free transfer of funds related to investments

(g) Observance of specific investment undertakings

E. Measures of Compensation

(a) Expropriation remedies

(b) Compensation for other treaty breaches

(c) Moral damages

(d) Interest

(e) Costs and attorneys’ fees

9. Award

A. I ntroduction

(a) Destination of an international arbitration— the award

(b) Definition of an award

(c) Which decisions have the status of an award?

(d) Rendering an internationally enforceable award

B. Categories of Award

(a) Partial awards

(b) Foreign and domestic awards

(c) Default awards

(d) Additional awards

(e) Consent awards and termination of proceedings without an award

C. Remedies

(a) Monetary compensation

(b) Punitive damages and other penalties

(c) Specific performance

(d) Restitution

(e) Injunctions

(f) Declaratory relief

(g) Rectification

(h) Filling gaps and adaptation of contracts

(i) Interest

(j) Costs

(k) Requirements imposed by national law

D. Deliberations and Decisions of the Tribunal

(a) Introduction

(b) Tribunal psychology

(c) Bargaining process

(d) Majority voting

(e) Concurring and dissenting opinions

E. Form and Content of Awards

(a) Generally

(b) Form of the award

(c) Contents of the award

(d) Time limits

(e) Notification of awards

(f) Registration or deposit of awards

F. Effect of Awards

(a) Res judicata

(b) Existing disputes

(c) Subsequent disputes

(d) Effect of award on third parties

G. Proceedings After the Award

(a) Under national law

(b) Under rules of arbitration

(c) Review procedures other than by national courts

(d) Review of the award by way of settlement

(e) Publication of awards

10. Challenge of Arbitral Awards

A. Introduction

(a) Purpose of challenge

(b) Preconditions to challenge

(c) Time limits for challenge

B. Methods of Challenge

(a) Internal challenge

(b) Correction and interpretation of awards; additional awards; remission of awards

(c) Recourse to the courts

C. Grounds for Challenge

(a) Grounds under the Model Law

(b) Adjudicability

(c) Procedural grounds

(d) Substantive grounds

D. Procedures for Bringing a Challenge

E. Effects of Challenge

F. State Responsibility for Wrongful Setting Aside

11. Recognition and Enforcement of Arbitral Awards

A. B ackground

(a) Introduction

(b) Performance of awards

(c) General principles governing recognition and enforcement

(d) Difference between recognition and enforcement

(e) Place of recognition and enforcement

(f) Methods of recognition and enforcement

(g) Time limits

(h) Consequences of refusal of recognition or enforcement

(i) Role of the international conventions

B. Enforcement under the New York Convention

(a) Introduction

(b) Refusal of recognition and enforcement

(c) Grounds for refusal

(d) First ground for refusal— incapacity; invalid arbitration agreement

(e) Second ground— no proper notice of appointment of arbitrator or of the proceedings; lack of du

(f) Third ground— jurisdictional issues

(g) Fourth ground— composition of tribunal or procedure not in accordance with arbitration agreeme

(h) Fifth ground— award suspended, or set aside

(i) Arbitrability

(j) Public policy

(k) Other grounds

C. Enforcement under the ICSID Convention

D. Enforcement under Regional Conventions

(a) Middle Eastern and North African Conventions and enforcement regimes

(b) Panama Convention

(c) Moscow Convention

(d) Other regional conventions

E. Defence of State Immunity

(a) Jurisdictional immunity

(b) Immunity from execution

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