International Effectiveness of the Annulment of an Arbitral Award

by Gharavi, Hamid G.

• ISBN13: 9789041117175
• ISBN10: 9041117172
• Format: Hardcover
• Copyright: 2002-04-01
• Publisher: Kluwer Law Intl

Summary

In international arbitration as practiced today, few issues are as controversial and hotly debated as the foreign enforcement of an arbitral award that has been annulled in its originating jurisdiction. As more and more jurisdictions challenge such annulments, the issue has inevitably attracted the intense scrutiny of practitioners and scholars. Now, in the first book written on the subject--and a major work unlikely to be superseded for quite some time--the international practitioner and scholar Dr. Hamid G. Gharavi provides a keen, in-depth analysis of the sources, legal and practical grounds, and possible solutions of the problem, particularly as it affects international business transactions in the global economy.Dr Gharavi analyzes the relevant provisions in all major international arbitration conventions, as well as national laws on the annulment and enforcement of arbitral awards in force in more than fifty different countries. Among the book's most notable features are the following: invaluable information on, and an in-depth analysis of, the travaux préparatoires of the New York Convention pertaining to the articulation of annulment/enforcement controls; the effects of the cultural, judicial, and legal diversity of states; and clear elucidation of the interests that often separate North from South in the practice of arbitration. With detailed attention to theoretical and practical perspectives--especially as they reveal the dangers to which the enforcement of annulled awards can subject international business operators-- Dr Gharavi arrives, after consideration of all interests, at a global resolution aiming to establish an effective and harmonious international legal framework for the control of awards in accordance with the nature and mission of arbitration.

Table of Contents

Preface	xiii
Abbreviations	xvi
Introduction	1	(20)
Scope and Approach	1	(2)
Notion of arbitration	3	(2)
Types of arbitration	5	(2)
Ad hoc arbitration	5	(1)
Institutional arbitration	6	(1)
Domestic arbitration statutes	7	(5)
Austria	8	(1)
England	9	(2)
France	11	(1)
Germany	11	(1)
Switzerland	11	(1)
Multilateral Treaties	12	(3)
New York Convention	12	(1)
European Convention	12	(3)
Uncitral Model Law	15	(6)
European Law	21	(94)
Arbitration and EC Law	21	(40)
Preliminary ruling under art. 234 ECT	21	(2)
Brussels 1 and Lugano Convention	23	(2)
Rome Convention	25	(1)
European public policy	25	(1)
Notion of public policy	25	(10)
Primary versus secondary law	35	(1)
Horizontal effect	36	(1)
Supremacy and uniform application	37	(2)
Direct effect	39	(2)
Content	41	(2)
Internal Market	43	(1)
Examples	43	(1)
Article 81 ECT	43	(2)
Types of behaviour	45	(1)
Horizontal versus vertical restriction	46	(1)
Per se violations and rule of reason	47	(1)
Block Exemptions	47	(1)
Harmonization Directives	48	(1)
6th VAT Directive	49	(1)
Directive on commercial agents	49	(2)
Free movement of goods	51	(2)
Autonomy of the Member States	53	(2)
Extent of the review of the award	55	(1)
Prima facie test	55	(2)
Review of the facts	57	(2)
Equivalence test	59	(1)
Other tests	59	(1)
Conclusions	60	(1)
Arbitration and EHRC	61	(54)
Scope of art. 6 EHRC	61	(4)
Article 6 and arbitration in general	65	(8)
`Tribunal'	73	(1)
Direct horizontal effect	74	(1)
Court control	75	(1)
Waiver of art. 6	76	(1)
Arbitration agreement	76	(3)
Waiver by behaviour	79	(1)
Standards for the individual rights	80	(1)
Rights in court proceedings	81	(1)
Independent and impartial judges	81	(1)
General issues	82	(1)
Interest groups	82	(3)
Relationship with the parties	85	(1)
Previous involvement	86	(2)
Prejudicial opinion	88	(1)
Other situations	88	(2)
Right to be heard	90	(1)
General issues	90	(2)
Evidence issues	92	(4)
Oral hearing	96	(1)
Equal treatment	97	(1)
General issues	97	(1)
Witnesses	98	(1)
Experts	99	(1)
Reasoned decision	99	(1)
Legal aid	100	(1)
Assistance by the judge	100	(1)
Judgement by default	101	(1)
Minimum standards for arbitration	101	(1)
Arbitration agreement	101	(3)
Arbitral tribunal	104	(3)
Right to be heard	107	(2)
Oral hearing	109	(1)
Equal treatment	109	(1)
Reasoned decision	110	(1)
Assistance by the arbitral tribunal	111	(1)
Default award	111	(1)
Court control	111	(1)
Conclusions	112	(1)
Arbitration agreement	113	(1)
Arbitral tribunal	113	(1)
Right to be heard	113	(1)
Oral hearing	114	(1)
Equal treatment	114	(1)
Reasoned decision	114	(1)
Assistance by the arbitral tribunal	114	(1)
Default award	114	(1)
Notion of Award	115	(26)
Austria	116	(3)
Arbitrators	116	(2)
Form	118	(1)
Content	119	(1)
England	119	(6)
Arbitrators	119	(3)
Form	122	(1)
Content	123	(2)
France	125	(6)
Arbitrators	125	(3)
Form	128	(1)
Content	129	(2)
Germany	131	(3)
Arbitrators	131	(2)
Form	133	(1)
Content	133	(1)
Switzerland	134	(3)
Arbitrators	134	(1)
Form	135	(1)
Content	135	(2)
Conclusions	137	(4)
Arbitrators	137	(1)
Form	138	(1)
Content	139	(2)
Correction/Interpretation/Amendment	141	(6)
Austria	141	(1)
England	141	(2)
France	143	(1)
Germany	144	(1)
Switzerland	145	(1)
Conclusions	146	(1)
Grounds for Challenge	147	(208)
Introduction	147	(5)
Austria	147	(1)
England	148	(2)
France	150	(1)
Germany	151	(1)
Switzerland	152	(1)
Lack of an arbitration agreement	152	(91)
Legal nature of the arbitration agreement	153	(1)
Applicable law	154	(1)
The Rome Convention	155	(1)
Austria	155	(1)
Capacity	155	(1)
Arbitration agreement	155	(1)
England	156	(1)
Capacity	156	(1)
Arbitration agreement	156	(1)
France	157	(1)
Capacity	157	(1)
Arbitration agreement	158	(1)
Germany	159	(1)
Capacity	159	(1)
Arbitration agreement	159	(1)
Switzerland	160	(1)
Capacity	160	(1)
Arbitration agreement	161	(1)
Separability	161	(1)
Austria	161	(1)
England	162	(1)
France	163	(1)
Germany	163	(1)
Switzerland	164	(1)
Capacity	164	(1)
Austria	164	(1)
England	165	(1)
France	166	(1)
Germany	166	(1)
Switzerland	167	(1)
Arbitrability	168	(1)
Austria	168	(1)
England	169	(1)
France	170	(1)
Germany	171	(2)
Switzerland	173	(1)
Form	174	(1)
Austria	175	(1)
England	176	(1)
France	177	(1)
Germany	177	(1)
Switzerland	178	(1)
Content	179	(1)
Austria	179	(1)
England	180	(1)
France	181	(1)
Germany	181	(1)
Switzerland	182	(1)
Incorporation by reference	183	(1)
Austria	183	(1)
England	183	(3)
France	186	(1)
Germany	187	(1)
Switzerland	187	(1)
Interpretation	188	(1)
Austria	188	(2)
England	190	(2)
France	192	(2)
Germany	194	(2)
Switzerland	196	(1)
Scope	197	(1)
Austria	197	(1)
England	198	(2)
France	200	(4)
Germany	204	(1)
Switzerland	205	(2)
Representation	207	(1)
Austria	208	(1)
England	208	(1)
France	209	(1)
Germany	210	(1)
Switzerland	211	(1)
Third parties	211	(5)
Austria	216	(1)
Legal successors	216	(1)
Guarantors	216	(1)
Other third parties	217	(1)
England	217	(1)
Legal successors	217	(2)
Guarantors	219	(1)
Other third parties	219	(2)
France	221	(1)
Legal successors	221	(1)
Gaurantors	222	(1)
Other third parties	223	(1)
Germany	223	(1)
Legal successors	223	(1)
Guarantors	224	(1)
Other third parties	225	(1)
Switzerland	226	(1)
Legal successors	226	(1)
Guarantors	227	(1)
Other third parties	227	(1)
Void and voidable agreements	227	(1)
Austria	228	(1)
England	229	(1)
France	230	(1)
Germany	231	(1)
Switzerland	232	(1)
Termination and conditions	232	(1)
Austria	232	(1)
Notice	233	(1)
Consent	233	(2)
Other reasons	235	(1)
England	235	(1)
Notice	235	(1)
Consent	235	(2)
Other reasons	237	(1)
France	237	(1)
Notice	237	(1)
Consent	237	(1)
Other reasons	238	(1)
Germany	239	(1)
Notice	239	(1)
Consent	240	(1)
Other reasons	240	(1)
Switzerland	241	(1)
Notice	241	(1)
Consent	242	(1)
Other reasons	242	(1)
Lack of due process	243	(30)
Austria	243	(1)
Right to be heard	243	(1)
General rules	243	(2)
Evidence	245	(1)
Assistance by the arbitral tribunal	246	(1)
Equal treatment	246	(1)
Constitution of the arbitral tribunal	246	(1)
Proceedings	247	(1)
England	247	(1)
Right to be heard	248	(1)
General rules	248	(4)
Evidence	252	(1)
Assistance by the arbitral tribunal	253	(1)
Equal treatment	254	(1)
Constitution of the arbitral tribunal	254	(1)
Proceedings	254	(1)
France	255	(1)
Right to be heard	256	(1)
General rules	256	(3)
Evidence	259	(1)
Assistance by the arbitral tribunal	260	(1)
Equal treatment	260	(1)
Constitution of the arbitral tribunal	261	(1)
Proceedings	262	(1)
Germany	263	(1)
Right to be heard	263	(1)
General rules	263	(2)
Evidence	265	(1)
Assistance by the arbitral tribunal	266	(1)
Equal treatment	267	(1)
Constitution of the arbitral tribunal	267	(1)
Proceedings	267	(1)
Switzerland	268	(1)
Right to be heard	268	(1)
General rules	268	(2)
Evidence	270	(2)
Assistance by the arbitral tribunal	272	(1)
Equal treatment	272	(1)
Constitution of the arbitral tribunal	272	(1)
Proceedings	273	(1)
Partiality and dependence	273	(22)
Austria	274	(2)
England	276	(7)
France	283	(4)
Germany	287	(4)
Switzerland	291	(4)
Procedural irregularities	295	(10)
Austria	295	(1)
England	296	(4)
France	300	(3)
Germany	303	(1)
Switzerland	304	(1)
Ultra petita	305	(5)
Austria	305	(1)
England	306	(1)
France	307	(1)
Germany	308	(1)
Switzerland	309	(1)
Violation of public policy	310	(13)
Austria	310	(2)
England	312	(3)
France	315	(3)
Germany	318	(3)
Switzerland	321	(2)
Criminal acts	323	(10)
General issues	324	(1)
Austria	324	(1)
England	325	(1)
France	326	(2)
Germany	328	(2)
Switzerland	330	(1)
Fraud by omission	331	(1)
Austria	331	(1)
England	331	(1)
France	332	(1)
Germany	333	(1)
Switzerland	333	(1)
News facts and evidence	333	(3)
Austria	333	(1)
England	334	(1)
France	335	(1)
Germany	335	(1)
Switzerland	335	(1)
Conclusions	336	(19)
General issues	337	(1)
Lack of an arbitration agreement	337	(1)
Applicable law	337	(1)
Separability	338	(1)
Capacity	338	(1)
Arbitrability	339	(1)
Form	339	(1)
Content	340	(1)
Incorporation by reference	340	(1)
Interpretation	341	(1)
Scope	341	(1)
Representation	341	(2)
Third parties	343	(1)
Void and voidable agreements	343	(1)
Termination and conditions	343	(1)
Lack of due process	343	(1)
Right to be heard	343	(1)
General rules	343	(2)
Evidence	345	(1)
Equal treatment	346	(1)
General rules	346	(1)
Constitution of the arbitral tribunal	346	(1)
Proceedings	346	(1)
Partiality and dependence	347	(1)
Notions	347	(1)
Standards for challenge	348	(1)
General guidelines	348	(2)
Party-appointed arbitrators	350	(1)
Grounds which become known after the award	350	(1)
Procedural irregularities	350	(1)
General issues	350	(1)
Rules applicable on the merits	351	(1)
Ultra petita	352	(1)
Violation of public policy	352	(1)
General rules	352	(1)
Examples	353	(1)
Criminal acts	353	(1)
New facts and evidence	354	(1)
Challenge Procedure	355	(12)
Austria	355	(2)
International jurisdiction	355	(1)
Court organization	356	(1)
Time limit	356	(1)
England	357	(3)
International jurisdiction	357	(1)
Court organization	358	(1)
Time limit	359	(1)
France	360	(2)
International jurisdiction	360	(1)
Court organization	361	(1)
Time limit	361	(1)
Germany	362	(1)
International jurisdiction	362	(1)
Court organization	362	(1)
Time limit	363	(1)
Switzerland	363	(1)
International jurisdiction	363	(1)
Court organization	363	(1)
Time limit	364	(1)
Conclusions	364	(3)
International jurisdiction	364	(1)
Court organization	364	(1)
Time limit	365	(2)
Waiver of Challenge and Cure	367	(16)
Austria	367	(2)
Arbitration agreement	367	(1)
Proceedings	367	(1)
Cure of defects of the arbitration agreement	367	(1)
Waiver	368	(1)
After the award	369	(1)
England	369	(2)
Arbitration agreement	369	(1)
Proceedings	369	(1)
Cure of defects of the arbitration agreement	369	(1)
Waiver	370	(1)
After the award	371	(1)
France	371	(3)
Arbitration agreement	371	(1)
Proceedings	372	(1)
Cure of defects of the arbitration agreement	372	(1)
Waiver	372	(2)
After the award	374	(1)
Germany	374	(3)
Arbitration agreement	375	(1)
Proceedings	375	(1)
Cure of defects of the arbitration agreement	375	(1)
Waiver	375	(1)
After the award	376	(1)
Switzerland	377	(2)
Arbitration agreement	377	(1)
Proceedings	377	(1)
Cure of defects of the arbitration agreement	377	(1)
Waiver	378	(1)
After the award	379	(1)
Conclusions	379	(4)
Arbitration agreement	379	(1)
Proceedings	380	(1)
Cure of defects of the arbitration agreement	380	(1)
Waiver	380	(1)
After the award	381	(2)
Recognition and Enforcement	383	(44)
General issues	383	(11)
Invalidated awards	383	(2)
More favourable domestic rules	385	(1)
Austria	385	(1)
England	385	(1)
France	385	(1)
Germany	386	(1)
Switzerland	386	(1)
Discretionary power for the municipal judge	387	(1)
Application of the European Convention	388	(1)
Domestic enforcement issues	389	(1)
Estoppel and other limits to objections	390	(4)
New York Convention	394	(29)
Lack of an arbitration agreement	394	(1)
Form	394	(1)
Austria	394	(1)
Germany	394	(1)
Switzerland	395	(1)
Invalidity	396	(1)
Austria	396	(1)
England	397	(1)
Germany	397	(1)
Switzerland	398	(1)
Incorporation	399	(1)
Austria	399	(1)
England	399	(1)
France	399	(1)
Germany	400	(1)
Switzerland	400	(1)
Scope	401	(2)
Representation	403	(1)
Waiver	404	(1)
Lack of due process	404	(1)
General issues	404	(1)
England	404	(1)
Germany	404	(3)
Switzerland	407	(1)
Evidence	408	(1)
Reasons	408	(1)
Irregular composition of the arbitral tribunal	409	(1)
Germany	409	(1)
Switzerland	410	(1)
Violation of procedural rules	411	(1)
Ultra petita	412	(1)
England	412	(1)
Germany	413	(1)
Award not (yet) binding	413	(1)
England	413	(1)
France	414	(1)
Germany	415	(1)
Switzerland	415	(1)
Lack of arbitrability	416	(1)
Violation of public policy	417	(1)
Austria	417	(1)
England	417	(2)
France	419	(1)
Germany	420	(2)
Switzerland	422	(1)
European Convention	423	(4)
Lack of an arbitration agreement	423	(2)
Irregular composition of the arbitral tribunal	425	(2)
Outlook	427	(16)
The courts	427	(12)
Dispute requirement	427	(1)
Incorporation	428	(1)
Set-off	429	(3)
Public policy	432	(6)
International division of work	438	(1)
The legislator	439	(4)
Applicable law	439	(1)
Form	440	(1)
Court organization	441	(2)
Annex: Text of Statutes	443	(110)
Austria	443	(26)
Statute	443	(6)
Outline of the reform	449	(2)
Draft text	451	(18)
England	469	(50)
France	519	(11)
Germany	530	(16)
Switzerland	546	(7)
Table of cases	553	(34)
Bibliography	587	(28)
Index	615