| |
|
|
Introduction |
|
|
|
Chapter 1: |
When to Arbitrate; When to Litigate |
|
|
- § 1:1 : Introduction1-1
- § 1:2 : Definition of Arbitration1-2
- § 1:3 : Arbitration’s Traditional Advantages1-2
- § 1:4 : Arbitration’s Traditional Disadvantages1-3
- § 1:5 : Matters Better Arbitrated Than Litigated1-3
- § 1:6 : Matters Better Litigated Than Arbitrated1-4
- § 1:7 : The Business Point of View1-4
- § 1:8 : Conclusion1-5
|
|
Chapter 2: |
Historical Background of Arbitration in the United States |
|
|
- § 2:1 : Introduction2-1
- § 2:2 : Early Judicial Attitudes2-3
- § 2:3 : Legislative Reform2-4
- § 2:4 : Federal Legislation2-5
|
|
Chapter 3: |
The Institutional Environment |
|
|
- § 3:1 : Introduction3-2
- § 3:2 : Types of Arbitration3-2
- § 3:3 : International Chamber of Commerce3-3
- § 3:3.1 : International Court of Arbitration3-4
- § 3:3.2 : Secretariat3-4
- § 3:3.3 : Rules3-5
- [A] : Terms of Reference; Procedural Timetable— Article 183-5
- [B] : Making the Award—Article 25(2); Scrutiny of the Award by the Court—Article 273-6
- § 3:4 : American Arbitration Association3-7
- § 3:4.1 : Rules3-8
- [A] : Commercial Rules3-8
- [A][1] : Expedited Procedures3-9
- [A][2] : Pilot Flexible Fee Schedule3-9
- [A][3] : Procedures for Large, Complex Commercial Disputes3-10
- [A][4] : Emergency Measures of Protection3-10
- [A][5] : Standard Commercial Rules3-10
- [B] : International Rules3-11
- § 3:5 : CPR Institute for Dispute Resolution3-12
- § 3:5.1 : Rules3-13
- [A] : Domestic Rules3-13
- [A][1] : Rule 14: Interim Measures of Protection by a Special Arbitrator3-15
- [B] : International Rules3-15
- § 3:6 : Conclusion3-16
|
|
Chapter 4: |
Drafting the Arbitration Agreement |
|
|
- § 4:1 : Introduction4-2
- § 4:2 : Initial Questions4-2
- § 4:3 : Checklists4-3
- § 4:3.1 : Checklist for Domestic Arbitrations4-3
- § 4:3.2 : Checklist for International Arbitrations4-3
- § 4:4 : Domestic Arbitrations4-4
- § 4:4.1 : Scope of the Arbitration Clause4-4
- § 4:4.2 : Entry of Judgment Provision4-5
- § 4:4.3 : What Institution or Set of Rules Should Be Selected?4-5
- § 4:4.4 : What Venue Should Be Selected?4-7
- § 4:4.5 : What Substantive Law Should Be Chosen?4-7
- § 4:4.6 : Should the Tribunal Consist of One or Three Arbitrators?4-8
- § 4:4.7 : How Should the Tribunal Be Chosen?4-9
- § 4:4.8 : Are Interim Measures Likely to Be Required?4-10
- § 4:5 : International Arbitrations4-10
- § 4:5.1 : Language4-10
- § 4:5.2 : What Should Be the International Venue?4-11
- § 4:6 : Conclusion4-14
|
|
Chapter 5: |
Conducting the Arbitration |
|
|
- § 5:1 : Introduction5-1
- § 5:2 : Commencing the Arbitration5-1
- § 5:3 : Appointing the Arbitrator5-3
- § 5:4 : Pre-Hearing Conference5-5
- § 5:5 : Pre-Hearing Disclosure5-6
- § 5:6 : Briefing5-6
- § 5:7 : Demeanor at the Hearing5-7
- § 5:8 : Fact Witnesses5-7
- § 5:9 : Expert Witnesses5-8
- § 5:10 : Conclusion5-8
|
|
Chapter 6: |
Enforcing the Award |
|
|
- § 6:1 : Introduction6-1
- § 6:2 : Federal Arbitration Act6-2
- § 6:2.1 : Confirmation Procedures6-3
- § 6:2.2 : Grounds for Refusal to Enforce6-3
- § 6:2.3 : Can the Parties by Their Agreement Change the Act’s Statutory Standardsfor Review?6-5
- § 6:3 : New York Convention of 19586-6
- § 6:3.1 : Enforcement Procedures6-7
- § 6:3.2 : Grounds for Refusal to Enforce6-8
- [A] : Absence of a Valid Arbitration Agreement— Article V(1)(a)6-8
- [B] : Lack of Fair Opportunity to Be Heard— Article V(1)(b)6-8
- [C] : Award Was Not Within Scope of Arbitration Clause—Article V(1)(c)6-10
- [D] : Improper Composition of Tribunal— Article V(1)(d)6-11
- [E] : Award Not Binding—Article V(1)(e)6-12
- [F] : Additional Challenges—Article V(2)6-12
- § 6:4 : Conclusion6-13
|
|
Chapter 7: |
The Legal Environment |
|
|
- § 7:1 : Introduction7-2
- § 7:2 : Federal Policy Favoring Arbitration7-3
- § 7:2.1 : Federal Arbitration Act7-3
- § 7:2.2 : International Conventions7-5
- [A] : New York Convention7-5
- [B] : Panama Convention7-6
- § 7:2.3 : State Arbitration Laws7-7
- § 7:2.4 : Federal Supremacy7-8
- [A] : Federal Preemption7-8
- [B] : When State Law Applies7-9
- § 7:3 : Enforcing the Agreement to Arbitrate7-9
- § 7:3.1 : Federal Court Jurisdiction and Venue7-10
- [A] : Jurisdiction7-10
- [B] : Venue7-11
- § 7:3.2 : Staying Litigation and Compelling Arbitration7-12
- [A] : Staying Litigation7-12
- [B] : Compelling Arbitration7-13
- § 7:3.3 : Who Decides Arbitrability?7-14
- [A] : When Judges Decide7-14
- [B] : When Arbitrators Decide7-14
- § 7:3.4 : Resisting Enforcement: Public Policy7-16
- § 7:3.5 : Resisting Enforcement: Contract Law7-17
- § 7:4 : Provisional Remedies7-19
- § 7:5 : Multiple Parties, Issues, and Proceedings7-20
- § 7:5.1 : Classwide Arbitration7-21
- § 7:5.2 : Joinder of Parties7-22
- § 7:5.3 : Consolidation7-22
- § 7:5.4 : Concurrent Proceedings7-24
- § 7:6 : Discovery7-25
- § 7:7 : Judicial Appointment of the Arbitrator7-26
- § 7:8 : Enforcing an Award7-26
- § 7:8.1 : Confirmation and Judgment7-26
- § 7:8.2 : Challenging an Award7-28
- [A] : Corruption, Fraud, or Undue Means7-29
- [B] : Evident Partiality or Corruption7-30
- [C] : Refusing to Postpone a Hearing7-31
- [D] : Refusing to Hear Evidence7-32
- [E] : Prejudicial Misbehavior7-32
- [F] : Arbitrator Exceeded His or Her Powers7-32
- [G] : Arbitrator Failed to Make a Mutual, Final, and Definite Award7-33
- [H] : Manifest Disregard of the Law7-33
- [I] : Public Policy7-35
- § 7:9 : Preclusion7-35
|
|
Chapter 8: |
Securities ADR; And Appendices 8A-8C |
Constantine N. Katsoris ~ Fordham University School of Law |
|
- § 8:1 : Introduction8-3
- § 8:2 : Background of Securities Arbitration8-4
- § 8:2.1 : Judicial Developments8-5
- § 8:2.2 : Creation of SICA and the Role of the SEC8-7
- § 8:3 : The SICA Code8-12
- § 8:3.1 : Jurisdiction8-12
- [A] : Application of the Code8-13
- [B] : Industry Obligation to Arbitrate8-13
- [C] : Predispute Arbitration Agreements8-13
- [D] : Class Actions8-14
- [E] : Employment Cases8-15
- [F] : Six-Year Rule for Eligibility of Claims8-17
- § 8:3.2 : Small Claims and Simplified Arbitration8-18
- § 8:3.3 : Requirement of Hearing8-19
- § 8:3.4 : Dismissal of Proceedings8-19
- § 8:3.5 : Settlements8-20
- § 8:3.6 : Tolling of Time Limitations8-20
- § 8:3.7 : Classification and Qualification of Arbitrators8-21
- § 8:3.8 : Selection of and Challenges to Arbitrators8-28
- § 8:3.9 : Required Disclosures by Arbitrators8-30
- § 8:3.10 : Commencement of Proceeding8-31
- [A] : Pleadings8-31
- [B] : Joinder and Consolidation; Multiple Parties8-33
- [C] : Acknowledgement of Pleadings by Arbitrators8-33
- [D] : Amendment to Pleadings8-33
- § 8:3.11 : Representation by an Attorney8-34
- [A] : NARs Report8-34
- [B] : Clinical Representation8-37
- § 8:3.12 : Designation of Time and Place of Hearing8-38
- § 8:3.13 : Prehearing Procedures; Information Gathering8-38
- [A] : Discovery Orders and Compliance8-39
- [B] : Witness Lists8-40
- [C] : Subpoenas8-40
- [D] : Depositions8-41
- [E] : Resolution Format8-41
- § 8:3.14 : Expedited Procedures for the Elderly or Seriously Ill8-42
- § 8:3.15 : Hearings8-43
- [A] : Attendance at Hearings8-43
- [B] : Record of Proceedings8-44
- [C] : Oaths of Arbitrators and Witnesses8-44
- [D] : Adjournments8-44
- [E] : Evidence8-46
- [F] : Reopening of Hearings8-46
- [G] : Confidentiality8-46
- § 8:3.16 : Rulings of Arbitrators and Awards8-48
- [A] : Interpretation of Code and Enforcement of Arbitrators’ Rulings8-48
- [B] : Determinations of Arbitrators8-48
- [C] : Awards8-48
- [D] : Payment of Awards8-51
- [E] : Scope of Award8-52
- § 8:3.17 : SRO Arbitration Fees8-54
- § 8:3.18 : Large and Complex Cases8-55
- § 8:3.19 : Tracing Uniform Code into SRO Codes8-55
- § 8:3.20 : Conduct of Participants8-57
- § 8:3.21 : Joint Administration8-60
- § 8:4 : Alternatives to SRO Arbitration8-60
- § 8:4.1 : Single, Independent Forum8-61
- § 8:4.2 : Alternative Pilot Program8-64
- § 8:4.3 : Back to Court8-66
- § 8:5 : Mediation8-67
- § 8:6 : Perceptions of Fairness: SICA Survey8-69
- § 8:7 : The Changing Landscape8-72
- § 8:8 : Conclusion8-74
- Appendix 8A : Uniform Code of ArbitrationApp. 8A-1
- Appendix 8B : SRO Composite Arbitration StatisticsApp. 8B-1
- Appendix 8C : SRO Mediation StatisticsApp. 8C-1
|
|
Chapter 9: |
Intellectual Property Arbitration |
David W Plant ~ |
|
- § 9:1 : Introduction9-3
- § 9:2 : The Nature of Intellectual Property9-3
- § 9:2.1 : What Is Intellectual Property?9-3
- § 9:2.2 : How Do Intellectual Property Rights Arise?9-4
- § 9:2.3 : How May Intellectual Property Rights Be Exploited?9-5
- § 9:2.4 : How May Intellectual Property Rights Be Enforced?9-5
- § 9:3 : Intellectual Property Disputes and the Pros and Cons of Arbitration9-5
- § 9:3.1 : Overview9-5
- § 9:3.2 : Why Arbitration?9-6
- § 9:3.3 : Why Not Arbitration?9-7
- § 9:4 : Agreeing to Arbitrate9-8
- § 9:5 : Arbitrability of the Dispute and Enforceability of the Award9-10
- § 9:5.1 : The New York Convention9-11
- § 9:5.2 : Arbitrability of IP Rights: International Perspective9-12
- [A] : Trade Secrets9-12
- [B] : Licensing9-13
- [C] : Ownership9-14
- [D] : Scope and Infringement of Patents, Copyrights, and Trademarks9-14
- [E] : Validity and Enforceability of Patents, Copyrights, and Trademarks9-15
- [F] : ICC Report9-15
- § 9:5.3 : Arbitrability of IP Rights: United States9-16
- [A] : Patent Validity, Enforceability, and Infringement Issues9-16
- [B] : Patent Interference Issues9-18
- [C] : Copyright Issues9-18
- [D] : Trademark Issues9-20
- [E] : Trade Secret Misappropriation Issues9-26
- [F] : Uniform Dispute Resolution and Domain Name Disputes9-27
- § 9:5.4 : Suggested Contract Language with Respect to Arbitrability and Enforceability9-30
- § 9:6 : Enforceability of an Award that Includes an Intellectual Property Component9-32
- § 9:7 : Provisional Relief9-33
- § 9:7.1 : Arbitral Law9-33
- § 9:7.2 : Arbitral Rules9-34
- § 9:7.3 : Ad Hoc, Self-Help Arrangements9-35
- § 9:8 : Privacy and Confidentiality9-35
- § 9:8.1 : Post-Award Cracks in the Privacy and Confidentiality Walls9-35
- § 9:8.2 : Confidentiality During Arbitral Proceedings.9-37
- § 9:9 : The Arbitral Tribunal9-39
- § 9:10 : Party-Appointed Arbitrators9-41
- § 9:11 : Multiple-Party Proceedings9-41
- § 9:12 : Multiple Proceedings9-42
- § 9:13 : Governing Law and Rules9-43
- § 9:13.1 : Arbitral Law9-43
- § 9:13.2 : Substantive Law9-43
- § 9:14 : Issues to Be Arbitrated9-44
- § 9:15 : The Site of the Arbitration9-44
- § 9:16 : Prehearing Information Exchanges9-45
- § 9:17 : The Evidentiary Hearing9-47
- § 9:18 : Experts9-48
- § 9:18.1 : Party-Appointed Experts9-48
- § 9:18.2 : Tribunal-Appointed Experts9-50
- § 9:19 : Remedies Available9-51
- § 9:19.1 : Monetary Relief9-51
- § 9:19.2 : Equitable Relief9-51
- § 9:19.3 : Punitive Damages and Sanctions9-52
- § 9:19.4 : Appellate Relief9-55
- § 9:20 : Form of the Award9-55
- § 9:21 : Arbitral Rules9-56
- § 9:22 : IP Arbitrator As IP Mediator9-56
- § 9:22.1 : Ethical Issues9-57
- § 9:22.2 : Repairing the Relationship Versus Determining Rights9-58
- § 9:22.3 : Some Ground Rules for Participating in Settlement Discussions9-58
|
|
Chapter 10: |
International Arbitration |
James H. Carter ~ Sullivan & Cromwell LLP |
|
- § 10:1 : Introduction10-2
- § 10:2 : International Arbitration’s Advantages Over Litigation10-3
- § 10:2.1 : Enforceability of Awards Under International Conventions10-3
- [A] : U.S. Legislation Implementing International Conventions10-5
- [B] : What Is an “International” Arbitration Under U.S. Law?10-6
- [C] : Why Does It Matter Whether the Arbitration Is “International”?10-7
- § 10:2.2 : Efficiencies10-8
- § 10:3 : International Arbitration As Shaped by Local Ideas About Litigation10-9
- § 10:4 : Institutions and Rules10-11
- § 10:4.1 : AAA Rules and Procedures Applicable to an “International” Case10-11
- § 10:4.2 : Other International Arbitration Procedures in the United States10-13
- § 10:4.3 : Administered Arbitration Systems Based Outside the United States10-15
- [A] : International Chamber of Commerce Arbitration10-15
- [B] : The LCIA Court of Arbitration10-16
- [C] : National Arbitration Centers10-17
- [D] : Regional Arbitration in the Americas10-18
- § 10:4.4 : Specialized Types of International Commercial Arbitration10-18
- [A] : Investment Disputes10-18
- [B] : Intellectual Property Disputes10-19
- [C] : Trade Disputes10-20
- [D] : Sports Disputes10-20
- § 10:5 : Drafting an International Dispute Resolution Clause10-20
- § 10:5.1 : Place of Arbitration10-21
- § 10:5.2 : Multi-Tier Clauses10-22
- § 10:6 : Selecting Arbitrators10-22
- § 10:6.1 : International Standards of Independence and Impartiality10-23
- § 10:6.2 : Arbitrator Disclosure10-23
- § 10:6.3 : Where to Find Arbitrators10-24
- § 10:7 : Conducting the Proceedings10-24
- § 10:8 : Enforcing the Award10-27
|
|
Chapter 11: |
Construction Arbitration; And Appendix 11A: Selective Bibliography |
James Groton ~ |
|
- § 11:1 : Introduction11-2
- § 11:2 : Historical Changes11-2
- § 11:3 : Construction Arbitration Today11-4
- § 11:3.1 : Complexity11-4
- § 11:3.2 : Requirements for Effective Arbitration11-5
- [A] : Rules11-5
- [B] : Experienced Arbitrators11-6
- [C] : Effective Management11-6
- [C][1] : Requiring Early Disclosure of Issues, Contentions, and Proof11-7
- [C][2] : Filing Prehearing Factual Briefs11-7
- [C][3] : Changing the Conventional Order of Proof11-7
- [C][4] : Submitting Direct Testimonyin Writing11-8
- [C][5] : Simultaneous Testimony of Opposing Expert Witnesses11-8
- [C][6] : Simultaneous Testimony of Fact Witnesses11-9
- [C][7] : Attorneys’ Summaries of Evidence11-9
- [C][8] : “Chess Clock” Management of Time11-9
- [C][9] : Photographs of Witnesses11-10
- § 11:4 : Newly Developed Alternatives to Arbitration11-10
- § 11:5 : A Look Forward11-13
- Appendix 11A : Selective BibliographyApp. 11A-1
|
|
Chapter 12: |
Labor and Employment Arbitration |
William Gould ~ Stanford Law School |
|
- § 12:1 : Introduction12-2
- § 12:2 : Labor Arbitration in the Unionized Sector12-5
- § 12:3 : Labor Arbitration and Public Law12-10
- § 12:4 : Individual Employee-Employer Arbitration Disputes12-27
- § 12:5 : Arbitration Process Issues in Both the Union and Nonunion Sector12-32
- § 12:5.1 : Encouragement of Arbitration12-32
- § 12:5.2 : Identity of the Arbitrators12-35
- § 12:6 : The Fairness of the Arbitral Process12-40
- § 12:6.1 : Notice and Information12-40
- § 12:6.2 : Confidentiality12-45
- § 12:6.3 : The Costs of Arbitration12-56
- § 12:6.4 : Judicial Review12-63
- § 12:7 : Conclusion12-69
|
|
Chapter 13: |
Appendix A: ICC Rules |
|
|
|
Chapter 14: |
Appendix B: AAA Commercial Rules |
|
|
|
Chapter 15: |
Appendix C: AAA International Rules |
|
|
|
Chapter 16: |
Appendix D: CPR Domestic Rules |
|
|
|
Chapter 17: |
Appendix E: CPR International Rules |
|
|
|
Chapter 18: |
Appendix F: Federal Arbitration Act (9 U.S.C. Section 1 et seq.) |
|
|
|
Chapter 19: |
Appendix G: New York Convention |
|
|
|
Chapter 20: |
Index to American Arbitration |
|
|