Procedure Shopping Through Hybrid Arbitration Agreements

Ri Dr. Nathalie Lendermann

doi:10.5771/9783845289441

Summary

Sind Vertragsparteien, die sich für eine Schiedsinstitution entscheiden, bei der Wahl der Verfahrensordnung frei? Das Werk behandelt diese Frage zur Parteiautonomie in institutionellen internationalen Schiedsverfahren am Beispiel hybrider Schiedsklauseln. Solche Klauseln benennen eine Schiedsinstitution, sehen aber die Schiedsordnung einer anderen Institution vor. Die Autorin untersucht die sich aus einer solchen Vereinbarung ergebenden Fragen aus schieds-, vertrags-, urheber- und lauterkeitsrechtlicher Sicht sowie einer transnationalen Perspektive unter Berücksichtigung verschiedener Rechtsordnungen. Zudem vergleicht sie Regeln und Organe wichtiger Schiedsinstitutionen Europas, Asiens und Amerikas. Das Werk dient als Handreiche für Praxis und Wissenschaft beim Umgang mit den Besonderheiten der institutionellen Schiedsgerichtsbarkeit.

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Bibliographic data

Copyright year: 2018
ISBN-Print: 978-3-8487-4599-9
ISBN-Online: 978-3-8452-8944-1
Publisher: Nomos, Baden-Baden
Series: Studien zum Internationalen Wirtschaftsrecht - Studies on International Economic Law
Volume: 16
Language: English
Pages: 572
Product type: Book Titles

Titelei/Inhaltsverzeichnis No access Pages 1 - 28
1. 1. The concept of hybrid arbitration clauses No access
  2. Procedure shopping - Reasons for hybrid arbitration clauses No access
  3. The Insigma v. Alstom case No access
  4. Other hybrid arbitration cases No access
  5. Recent developments in institutional arbitration No access
2. State of discussion No access
3. Structure and research approach No access
1. 1. 1. An interplay of contract and private international law No access
    2. Party autonomy in international arbitration conventions No access
    3. Recognition of party autonomy by national arbitration laws No access
    4. Reasons for the supremacy of party autonomy No access
  2. 1. 1. Choosing a place of arbitration No access
      2. Place of arbitration, place of hearing, seat of the institution No access
      3. Application of arbitration laws of states other than the seat? No access
    2. 1. The search for conflict of laws rules for validity issues No access
      2. Initial considerations: substance v. procedure No access
      3. Law of the arbitration agreement beyond the lex arbitri No access
      4. Law applicable to the operability of the arbitration agreement No access
  3. 1. Mandatory arbitration law - an overview No access
    2. 1. No general due process concerns No access
      2. Stipulations in international conventions No access
        Rarity of national legislation on institutional arbitration No access
        The quasi-regulative force of institutional practice No access
  4. Relevant limits to party autonomy outside arbitration laws No access
2. 1. Types of arbitration rules No access
  2. 1. Lacking legislative or regulatory power of arbitral institutions No access
    2. Arbitration rules as standard terms of the arbitration agreement? No access
    3. Law applicable to arbitration rules No access
  3. Soft law and arbitrator discretion No access
  4. Interplay of institutional and arbitral discretion and party autonomy No access
3. 1. Arbitral procedure and the hierarchy of norms No access
  2. Validity of hybrid arbitration agreements in principle No access
1. 1. 1. Rejection of definitions based on the constitution of the tribunal No access
    2. Rejection of definitions focussing on the applicable rules No access
    3. Preference for definitions based on institutional involvement No access
    4. Degree of involvement of arbitral institutions No access
  2. 1. Objective advantages No access
    2. Subjective advantages No access
    3. 1. Cost No access
      2. Bureaucracy No access
      3. Intransparency and lack of control No access
    4. Shopping for advantages with hybrid arbitration agreements? No access
  3. 1. Institutions acting as appointing authority No access
    2. Facilitated ad hoc arbitration No access
    3. Semi-institutional arbitration, e.g. Hamburg Friendly Arbitration No access
    4. 1. Articles 1 (2) and 6 (2) of the ICC Rules & ad hoc cases No access
      2. The Bovis Lend v. Jay-Tech case No access
    5. »Switching« from institutional to ad hoc arbitration No access
  4. Hybridity of arbitration administered under another institution's rules No access
2. 1. Essentialia and optional elements of an arbitration agreement No access
  2. The principle of effective interpretation and its limits No access
  3. 1. 1. BGH judgment of 2 December 1982 No access
        Lovelock v. Exportles - a decision of the English Court of Appeals No access
        Cour de Cassation, decisions of 20 February 2007 and 4 June 2009 No access
      2. The case HKL v. Rizq No access
        Critical comments of the decision No access
      3. HCCI Court award of 18 April 2000 No access
        The »ICC 500« case No access
    2. 1. BGH decision of 20 January 1994 No access
        Evaluation and relevance for modern arbitration law No access
      2. The background of the creation of SHIAC and SCIA No access
        Problems with »old« Shanghai or Shenzhen arbitration clauses No access
        Some local Chinese jurisprudence on the CIETAC split No access
        The SPC's 2013 notice on the CIETAC split No access
        Further guidance from the SPC: the 2015 reply No access
        Evaluation No access
      3. Hybrid arbitration as a solution to subsequent pathology? No access
    3. Are hybrid arbitration clauses initially or subsequently pathological? No access
3. The qualification's consequences: inadvisability and possible cure No access
1. 1. 1. An example for the ICC's position: The Qimonda arbitration No access
    2. SIAC's search for an acceptable position No access
    3. CIETAC's apparent position No access
    4. The LCIA's flexibility proven in the Softwood Lumber Arbitrations No access
    5. A recall of the »ICC 500« case to indicate the AAA-ICDR's position No access
    6. Recall of the DIS/DAS awards No access
    7. The approach of one Swiss cantonal chamber of commerce No access
  2. 1. Essential ICC Rules No access
    2. Essential SIAC Rules No access
    3. Essential CIETAC Rules No access
    4. 1. Party autonomy under article 14 of the LCIA Rules (1998) No access
      2. Revisions introduced by the LCIA Rules (2014) No access
      3. General restrictions to modify powers of the institution No access
    5. Essential AAA-ICDR Rules No access
    6. Essential DIS Rules No access
    7. Essential Swiss Rules No access
  3. Controlling or lenient: negotiability of institutional services and rules No access
2. 1. 1. Nature and content of the Administration Contract No access
    2. 1. Law of the seat of the institution No access
      2. Law applicable to the arbitration agreement No access
      3. Law of the place of arbitration No access
      4. Own view and determination of the administering institution's »seat« No access
    3. 1. Theory 1 - parties accept the institution's offer ad incertas personas No access
      2. Theory 2 - request for arbitration as offer accepted by the institution No access
      3. Theory 3 - contract only concluded with the respondent's answer No access
    4. Conclusions for requests for arbitration under different rules No access
  2. 1. Problem: Timing and communication of the institution's refusal No access
    2. 1. Arguments for a right to terminate the Administration Contract No access
      2. Limit to the right to termination No access
      3. Contractual termination & jurisdictional decision of the institution No access
    3. 1. The »battle« of institutional rules No access
      2. Solutions discussed for »battle of forms« problems No access
      3. Appeasing the battle of institutional rules No access
    4. The institution's restricted right to disregard rule derogations No access
  3. 1. 1. The factual background No access
      2. The decisions of the TGI, Paris No access
      3. Partial annulment of the decisions by the CA, Paris No access
    2. Evaluation of the CA's ruling No access
    3. Fate of the arbitration agreement: reconsidering the TGI's decisions No access
3. Hybrid arbitration agreements and autonomy of the institution No access
1. 1. 1. 1. The originality/creativity threshold No access
      2. Arbitration rules as works in the public domain? No access
    2. 1. A parallel: copyright infringement of game rules and show formats? No access
      2. Exceptional protection of the content and integrity of a work No access
      3. Application to the use of another institution's arbitration rules No access
    3. 1. Jurisdictional considerations No access
      2. Conflict of laws analysis No access
  2. 1. Trademark mentioning v.trademark infringement No access
    2. Dilution without confusion? No access
    3. Excursus: The CIETAC split as a potential trademark issue No access
  3. 1. The problem to identify common principles among jurisdictions No access
    2. 1. Unfair competition in the non-profit sector No access
      2. The market for administering arbitral proceedings No access
      3. Relationship between unfair competition law and IP law No access
    3. 1. The concept of exploitation or tarnishment of reputation No access
      2. »Parasitisme« - a concept of exploitation of efforts No access
      3. Common law: Passing off and misappropriation No access
      4. A glance at Chinese unfair competition law No access
      5. The tort of undue interference with contractual relations No access
    4. 1. Relevance of the market place for jurisdiction? No access
      2. Qualification of the reproached conduct and localisation of the market No access
  4. Concluding reflections on the economics of exclusive institutional rules No access
2. 1. 1. A contract perspective: general contract interpretation rules No access
    2. A rule perspective: introduction to substitution and adaptation theories No access
    3. 1. The functional equivalence test No access
      2. Equivalence of actors or acts? No access
    4. Art. 1 (2) of the ICC Rules - per se an exclusion of substitution? No access
  2. 1. Commencement of the proceedings No access
    2. 1. Distinction: review of filing requirements and contractual acceptance No access
      2. Rules on institutional decisions on jurisdiction and their scope No access
    3. 1. Institutional determination of the number of arbitrators No access
      2. Appointment upon agreed or unopposed party nomination No access
      3. Confirmation of a co-arbitrator nominated by one party alone No access
      4. Institutional selection of a co-arbitrator for a defaulting party No access
      5. Default rules for the designation of the chairperson No access
      6. Institutional selection of a sole arbitrator or chairperson No access
    4. Challenge and replacement of arbitrators No access
    5. Institutional control of the proceedings after the tribunal is constituted No access
    6. Institutional influence on the award No access
    7. Financial control No access
  3. 1. The secretariats No access
    2. 1. Comparison of the ICC, LCIA, SIAC and SCCAM No access
      2. The »Arbitration Court(s)«» under CIETAC Rules (2015) No access
      3. Other, multi-person bodies No access
    3. Individuals: President, Chairman, Registrar, Secretary General No access
    4. The »administrator« under AAA-ICDR Rules No access
  4. Adaptation of the rules to the administering institution's system No access
3. Implementing hybrid arbitration: an institutional perspective No access
1. 1. 1. 1. Action for dismissal or stay of litigation No access
      2. Action for interlocutory declaratory relief No access
      3. Actions for injunctive relief No access
      4. Actions for review of arbitral decisions on jurisdiction No access
      5. Actions for state court support No access
    2. 1. Negative effect of competence-competence? No access
        Overview of national approaches No access
        Plea for limited review of operability issues by state courts No access
        A case for court support No access
      2. Institutions not concerned by inter partes effect of court orders No access
        The decision HKL v- Rizq II No access
        Anti-arbitration injunctions to solve institutional conflicts? No access
      3. Myth of the »administrative nature« of institutional acts - part I No access
        Provisional nature of the institution's decision on jurisdiction? No access
        No interlocutory review of institutional confirmation of jurisdiction No access
        Indirect court »review« of institutional decline of jurisdiction No access
    3. State court powers to enforce (hybrid) institutional arbitration clauses No access
  2. 1. Justiciability - the myth of the »administrative nature« - part II No access
    2. 1. Statutory provisions limiting arbitrator liability No access
        Judicial rulings on arbitrator liability No access
        Arbitration rules excluding arbitrator liability No access
      2. Application of the same principles to arbitral institutions? No access
      3. Institutional liability risks connected to hybrid arbitration No access
    3. Available remedies No access
  3. The fork in the road to enforce hybrid arbitration agreements No access
2. 1. 1. Invalidity of the arbitration agreement No access
    2. Procedural irregularities No access
    3. Irregularity in the constitution of the arbitral tribunal No access
    4. 1. What is public policy? No access
      2. Can private rules shape public policy? No access
      3. Public policy to protect interests of the rules issuing institution? No access
  2. Party invocation, preclusion and outcome-relevance No access
  3. 1. Insigma's objections to recognition and enforcement No access
    2. 1. The initial commencement of ICC arbitration No access
      2. The circumstances of the case transferral to SIAC No access
      3. The constitution of the arbitral tribunal No access
      4. The hearing on jurisdiction and the Singapore courts' decisions No access
      5. The hearing on the merits and the awards No access
    3. The ratio of the Hangzhou court's decision No access
    4. Evaluation No access
3. Enforcement risks of hybrid arbitration agreements No access
1. Summary of findings No access
2. Looking back for a way forward: A plea for institutional cooperation No access
3. Recall of key propositions No access
1. Themeneinführung No access
2. Ergebnisse No access
3. Thesen der Arbeit No access
1. Primary sources No access
2. Treaties / conventions & multilateral declarations No access
3. legislation (Regulations & Directives) No access
4. National legislation, regulations and instruments issued by state organs No access
5. United Nations Model Laws, principles and reports No access
6. Arbitration rules & guidelines No access