Restatement of the Law, The U.S. Law of International Commercial and Investor-State Arbitration

Table of Contents

Foreword

VOLUME 1

Chapter 1. General Provisions

Introductory Note

Topic 1. Definitions

1.1. Definitions

Topic 2. Basic Principles of U.S. International Arbitration Law

1.2. Role of Party Agreement

1.3. Consequences of Choice of Arbitral Seat

1.4. Requirements for Application of New York and Panama Conventions

1.5. Requirements for Application of ICSID Convention

Topic 3. Federal Preemption of State Law

1.6. Federal Preemption of State-Law Grounds for Declining to Enforce International Arbitration Agreements

1.7. Federal Preemption of State Laws Reallocating Authority from Arbitral Tribunals to Courts

1.8. Preemption of State-Law Provisions Permitting Court Involvement in or Regulating the Conduct of International Arbitral Proceedings

1.9. Federal Preemption of State-Law Grounds for Post-Award Relief

1.10. Federal Preemption of State-Law Procedures for Challenging or Enforcing International Arbitration Agreements and for Post-Award Relief

Chapter 2. Enforcement of the Arbitration Agreement

Introductory Note

Topic 1. General Provisions

2.1. Actions to Enforce Arbitration Agreement—Generally

2.2. Legal Framework Governing Enforcement of Arbitration Agreement

2.3. Parties to Arbitration Agreement

2.4. Form Requirements for Enforcement of Arbitration Agreement

2.5. Reciprocity for Enforcement of Arbitration Agreement

2.6. Burden of Proof for Enforcement of Arbitration Agreement

2.7. Separability of the Arbitration Agreement

2.8. Competence of the Tribunal to Determine Its Own Jurisdiction

Topic 2. Defenses to Enforcement of Arbitration Agreement

2.9. Defenses to Enforcement of Arbitration Agreement—Generally

2.10. Waiver of Defenses to Enforcement of Arbitration Agreement

2.11. Preclusive Effect of Prior Judicial Determination on Issues Relevant to Enforceability of Arbitration Agreement

2.12. Preclusive Effect of Prior Arbitral Award on Issues Relevant to Enforceability of Arbitration Agreement

2.13. Arbitration Agreement Does Not Exist

2.14. Arbitration Agreement Null and Void

2.15. Matter Beyond Scope of Arbitration Agreement

2.16. Subject Matter Not Capable of Resolution by Arbitration

2.17. Enforcement of Arbitration Agreement Contrary to Public Policy

2.18. Arbitration Agreement Inoperative or Incapable of Performance

2.19. Failure of Precondition to Arbitration

2.20. Waiver of the Right to Arbitrate

2.21. Undue Delay in Commencing Arbitration

2.22. Claim- and Issue-Preclusive Effect of Prior Arbitral Award on the Enforceability of Arbitration Agreement

Topic 3. Conduct of Proceedings to Enforce Arbitration Agreement

2.23. Subject-Matter Jurisdiction in Action to Enforce Arbitration Agreement

2.24. Personal Jurisdiction in Action to Enforce Arbitration Agreement

2.25. Sovereign Immunity and Act of State in Action to Enforce Arbitration Agreement

2.26. Forum Non Conveniens and Action to Enforce Arbitration Agreement

2.27. Statute of Limitations for Action to Enforce Arbitration Agreement

2.28. Procedural Issues in Action to Enforce Arbitration Agreement

2.29. Availability of Anti-Suit Injunction in Aid of Arbitration

2.30. Availability of Anti-Arbitration Injunction

2.31. Appeal from Ruling on Enforcement of Arbitration Agreement

Chapter 3. The Judicial Role in Connection with the Arbitral Proceeding

Introductory Note

Topic 1. Court Involvement in International Commercial Arbitration

3.1. General Rule of Court Noninvolvement in International Arbitral Proceedings

3.2. Court Appointment and Removal of Arbitrators

3.3. Court-Ordered Provisional Relief in Aid of Arbitration

3.4. Arbitral Subpoenas

3.5. Court-Ordered Production of Evidence in Aid of Arbitration

Topic 2. Multiparty Arbitral Proceedings

3.6. Consolidation of International Arbitral Proceedings

3.7. Joinder and Intervention in International Arbitral Proceedings

3.8. Class and Collective Arbitration

Topic 3. Issues Ancillary to the Arbitral Proceeding

3.9. Attorney Conduct in International Arbitration

3.10. Arbitral Immunity

3.11. Confidentiality of International Arbitral Proceedings



VOLUME 2

Chapter 4. Post-Award Relief

Introductory Note

Topic 1. General Provisions

4.1. Post-Award Actions—Generally

4.2. No Authority to Vacate Foreign Award

4.3. Legal Framework Governing Post-Award Relief

4.4. Formal Requirements for Post-Award Relief

4.5. Reciprocity for Post-Award Relief

4.6. Burden of Proof for Post-Award Relief

4.7. Standard of Review for Granting Post-Award Relief

4.8. Effect of Prior Judicial Determinations on the Availability of Post-Award Relief

Topic 2. Grounds for Post-Award Relief

4.9. Grounds for Post-Award Relief—Generally

Subtopic (A). Grounds for Denying Confirmation, Recognition, and Enforcement of Convention Awards

4.10. Arbitration Agreement Does Not Exist or Is Invalid

4.11. Denial of Notice or Opportunity to Present Case

4.12. Award on Matters Beyond the Terms of the Submission to Arbitration

4.13. Arbitral Procedure or Composition of Arbitral Tribunal Violates Party Agreement or Law of the Arbitral Seat

4.14. Award Set Aside or Subject to Set-Aside Proceedings

4.15. Award Decides Matters Not Capable of Resolution by Arbitration

4.16. Post-Award Relief Contrary to Public Policy

Subtopic (B). Grounds for Vacatur of U.S. Convention Awards and Denying Recognition and Enforcement of Non- Convention Awards

4.17. Award Procured by Corruption, Fraud, or Undue Means

4.18. Evident Partiality by the Arbitrators

4.19. Arbitrator Misconduct

4.20. Arbitral Tribunal Exceeded Its Powers

Subtopic (C). Party Modification and Waiver of Grounds

4.21. Agreements to Expand Grounds for Post-Award Relief

4.22. Agreements to Reduce or Eliminate Grounds for Post-Award Relief

4.23 .Waiver of Objections in Post-Award Actions

Topic 3. Conduct of Post-Award Actions

4.24. Subject-Matter Jurisdiction in Post-Award Action

4.25. Personal Jurisdiction in Post-Award Action

4.26. Sovereign Immunity and Act of State in Post-Award Action

4.27. Forum Non Conveniens in Post-Award Action

4.28. Proper Plaintiff in Post-Award Action

4.29. Proper Defendant in Post-Award Action

4.30. Statute of Limitations in Post-Award Action

4.31. Procedural Issues in Post-Award Action

4.32. Appeal from Ruling in Post-Award Action

Topic 4. Correction, Modification, and Remand of Awards

4.33. Correction and Modification of Convention Awards Made in the United States

4.34. Remand to the Arbitral Tribunal of Convention Awards Made in the United States

Topic 5. Preclusive Effect of Arbitral Awards

4.35. Claim-Preclusive Effect of Arbitral Award

4.36. Issue-Preclusive Effect of Arbitral Award

Chapter 5. Investor–State Arbitration

Introductory Note

Topic 1. Law Governing the Judicial Role in Investor–State Arbitration

5.1. Legal Framework Governing the Judicial Role in Investor–State Arbitration

Topic 2. Enforcement of the Obligation to Arbitrate

5.2. Enforcement of the Arbitration Agreement

5.3. Defenses to Enforcement of Agreements to Arbitrate an Investor–State Dispute

Topic 3. Court Involvement in Investor–State Arbitral Proceedings

5.4. The Judicial Role in Investor–State Arbitral Proceedings

Topic 4. Post-Award Relief in Investor–State Arbitration

5.5. Grounds for Post-Award Relief in Connection with Investor–State Arbitration

5.6. Conduct of Post-Award Actions in Connection with Investor–State Awards

Appendix A. Convention on the Recognition and Enforcement of Foreign Arbitral Awards

Appendix B. Inter-American Convention on International Commercial Arbitration

Appendix C. Federal Arbitration Act

Appendix D. Convention on the Settlement of Investment Disputes between States and Nationals of Other States

Appendix E. ICSID Convention Implementing Legislation

Table of Statutes

Table of Cases

Index