International Commercial Arbitration

Lec4: The Arbitration Proceedings: Rules to Apply

Readings Zhao, Xiu-wen International Commercial Arbitration Law,

2004, Chapter 7

Redfern & Hunter, Law & Practice of International Commercial

Arbitration, 2005, Chapter 6

Law Governing Arbitration Procedures Seat of Arbitration (the geographical criterion)

The place where the arbitral award is made.

Ad hoc arbitration

Institutional arbitration

Law Governing Arbitration Procedures Delocalization (the procedural criterion)

Sigval Bergesen v. Joseph Muller

It was held by the Southern District Court f NY that the NY Convention applied to the award made in the US due to the involvement of foreign interest which made the award “not considered as domestic”.

In the appeal, 2nd Circuit came to the conclusion that:

We adopt the view that the award “not considered as domestic” denotes awards which are subject to the Convention not because made abroad but because made within the framework of another country.

Arbitration Rules Applied in Arbitration Procedures Institutional Arbitration

Party Autonomy or Default Selection

CIETAC Arbitration Rules

Art 4.2 凡当事人同意将争议提交仲裁委员会仲裁的，均视为同意按照本规则进行仲裁。当事人约定适用其它仲裁规则，或约定对本规则有关内容进行变更的，从其约定，但其约定无法实施或与仲裁地强制性法律规定相抵触者除外。

Art 4.3 凡当事人约定按照本规则进行仲裁但未约定仲裁机构的，均视为同意将争议提交仲裁委员会仲裁。

Arbitration Rules Applied in Arbitration Procedures Ad hoc Arbitration/Institution-Administrated Ad

hoc Arbitration

CIETAC Arbitration Rules

Art 4.2 凡当事人同意将争议提交仲裁委员会仲裁的，均视为同意按照本规则进行仲裁。当事人约定适用其它仲裁规则，或约定对本规则有关内容进行变更的，从其约定，但其约定无法实施或与仲裁地强制性法律规定相抵触者除外。

Arbitration Rules Applied in Arbitration Procedures Basis of the Authority of Arbitration Rules

The contractual value of arbitration rules Arbitration rules as usages of principles of international

arbitration

Status of Arbitration Rules in International Arbitration Law

Arbitration rules take priority over other sources Arbitration rules are generally sufficient to regulate

the arbitration

Commencement of Arbitration SIAC: Art 3.3

The date of receipt of the notice of arbitration by Registrar shall be deemed the date of commencement of the arbitration.

ICC: Art 4.2

The date on which the request is received by the Secretariat shall, for all purpose, be deemed to be the date of the commencement of the arbitral proceedings.

Commencement of Arbitration CIETAC: Art 9

仲裁程序自仲裁委员会或其分会收到仲裁申请书之日起开始。

Time Bar Statutory Time Bar

Grimaldi Compagna Di Navigazione SpA v Sekihyo Lines [1999] 1 LLR 708

Contractual Time Bar

The Luka Botic [1984] 1 Lloyd's Rep 145

Indian Oil Corp v Vanol [1992] 2 LLR 563

Time Bar Is it a procedural or substantive

issue?

Common law system: Procedural issue, governed by procedural

law

Civil law system: Substantive issue, governed by

substantive law

Conduct of Proceedings Tribunal - master of own procedure

Institutional rules or ad hoc procedures

'Pleadings' and statements - facts, law and evidence

Oral hearings - for presentation of evidence, for arguments

'Documents-only' arbitration

Evidence in Arbitration 中国人不重视证据……

“宁可信其有，不可信其无”——极端主义

“宁可错杀一千，不可错放一个”——极端主义的恶果

“捉贼拿脏，捉奸在床”——另一种极端主义

“龙生龙，凤生凤，老鼠儿子会打洞”——唯心主义

“听其言，观其行”——模糊主义

Evidence in Arbitration Evidence Rules in International Commercial

Arbitration

Natural justice

To balance the discovery of truth and the spent of money and time

Examination-in-chief and cross examination

Evidence in Arbitration Natural Justice

Egmatra v Marco [1999] 1 Lloyd’s Rep. 862 (refusal of expert witness)

Pacol v Rossakhar [2000] 1 Lloyd’s Rep. 109 (reopen a claim which is undisputed in hearing)

Hussman v Al Ameen (2000) Lloyd’s Rep. 83 (misconduct in dealing with expert opinion)

Evidence in Arbitration Natural Justice

Annie Fox and others v P.G. Wellfair Ltd. (1981) 2 Lloyd’s Rep. 514

(decision made upon the knowledge of arbitrator, no enough opportunity for parties to present and challenge)

The “Peaceventure” (1996) 2 Lloyd’s Rep. 75 (decision on a point not mentioned by parties)

Evidence in Arbitration Natural Justice

Fauer, Fairclough v Premier Oil & Cake Mills (1968) 1 Lloyd’s Rep. 237

(refusal of witnesses on the ground of too many witnesses)

Henry Bath & Son Ltd. v Birgby Products (1962) 1 Lloyd’s Rep. 389 (refusal of party to examine the witness)

Brian Andrews v John Brashaw & Ors (1999) 29.7.99 (C.A) (an angry arbitrator)

Rustal v Gill & Duffus (conflicts once between the arbitrator and a party)

Evidence in Arbitration Documentary Evidence: Discovery

Document of one party’s own

Document of the other party

Document of a third party

Overseas document

Evidence in Arbitration Oral Evidence

Leading questions

Examination-in-chief

Cross examination

Evidence in Arbitration Expert Evidence

Admissibility

Independence

SJE (single jointly appointed expert)

Cross examination on expert

Third-Party/Multi-Party Issues Consolidation in Third-Party

Circumstances: To Be or Not To Be

No power of tribunal to consolidate disputes

Compromise of privacy/confidentiality

Ground for refusal of enforcement

Third-Party/Multi-Party Issues Cross-Claims and Counter Claims