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Negotiation or Mediation as a First Step Before Arbitration - Chapter 7 - Arbitration Clauses for International Contracts - 2nd Edition

 
Price:
$35.00
Author: Paul D. Friedland
Page Count: 8
Published: July 2007
Media Desc: PDF from "Arbitration Clauses for International Contracts - 2nd Edition"
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Description

Originally From:

Arbitration Clauses for International Contracts - 2nd Edition - Hardcover

Arbitration Clauses for International Contracts - 2nd Edition - Electronic


Chapter 7 - Preview Page
NEGOTIATION OR MEDIATION AS A FIRST STEP BEFORE ARBITRATION 

Both negotiation and mediation are consensual, rather than adversarial, and produce a resolution only if both parties agree thereto. The difference between negotiation and mediation, in brief, is that negotiation involves only the parties, and mediation involves the intervention and assistance of a third party (the mediator) as a facilitator in the parties’ effort to resolve their dispute.


Contractual undertakings to negotiate or mediate are increasingly enforceable before national courts, as well as before arbitrators.


Even where there is no provision for negotiation or mediation, parties can choose to negotiate or mediate at any time. The question is whether the chances for settlement are significantly increased by providing for negotiation or mediation as a mandatory first step before resort to arbitration, and there are no statistical answers to this question.

Two-step clauses, by practical necessity, require negotiation or mediation as a first step before arbitration. This can be a significant impediment to settlement via negotiation or mediation, because parties at the outset of a case are often entrenched in their positions, and their overconfidence in their case will diminish only once they receive an opposing submission or have the opportunity to observe the reactions of the arbitrators (even in a context as seemingly innocuous as the drawing up of terms of reference).

Table of Contents

Full Table of Contents from "Arbitration Clauses for International Contracts - 2nd Edition"


Preface to Revised Second Edition

Preface to First Edition

Introduction

Chapter 1: Model and Standard Clauses

(1) Model and Standard Clauses for Institutional Arbitration
(2) Model and Standard Clauses for Non-Administered (Ad Hoc) Arbitration

Chapter 2: Choosing Between Arbitration and Litigation

(1) Speed and Cost
(2) Neutrality, Availability, Familiarity/Flexibility and Enforceability
(3) Anticipating the Outcome
(a) Arbitrators versus Judges and Juries
(b) Limitations upon Appeals
(c) The Risk of Compromise Awards
(4) Process
(a) Privacy/Confidentiality
(b) Consolidation
(c) Summary Procedures
(d) Presentation of Evidence
(e) Document Production
(5) Summary of Reasons to Choose Arbitration or Litigation

Chapter 3: Choosing Between Administered and Non-Administered Arbitration

(1) The Utility of Incorporating a Set of Rules
(2) Support Services
(3) Flexibility
(4) The Risk of Obstruction
(5) Enforceability
(6) Cost
(7) Existing Disputes

Chapter 4: Choosing an Arbitral Institution

(1) Why it Matters
(a) Institutional Rules
(b) Arbitrator Appointments
(c) Administrators
(d) Reputation and Enforceability
(e) Cost
(f) Place of Arbitration
(2) The Choices

Chapter 5: Choosing a Place of Arbitration

(1) Why it Matters
(a) Enforceability
(b) Judicial Interference and Support
(c) Visas, work permits and right to use foreign counsel
(d) Relative Convenience and Expense
(e) Selection of the Arbitrators
(2) What Happens When the Parties Fail to Choose
(3) How to Identify a Suitable Place of Arbitration

Chapter 6: Drafting an Effective Arbitration Agreement

(1) The Need for Consent
(2) The Need for an Agreement in Writing
(3) Model and Standard Clauses as a Guide
(4) Necessary Elements
(a) Scope
(b) Designated Dispute Resolution Method
(c) Exclusivity
(5) Recommended Elements
(a) Place of Arbitration
(b) Method of Selection and Number of Arbitrators
(c) Language
(6) Optional Elements: Process
(a) Arbitrator Qualifications
(b) Provisional Measures
(c) Confidentiality
(d) Document Disclosure
(e) Disposition of Issues
(f) Presentation of Evidence
(g) Time Limits and Fast-Tracking
(h) Governing Arbitration Law
(i) Arbitral Jurisdiction to Decide Arbitral Jurisdiction
(j) Tribunal-appointed Experts
(k) Amicus Participation
(l) Specifying the Current or Updated Rules
(7) Optional Elements: Award
(a) Allocation of Costs and Fees
(b) Interest
(c) Punitive Damages
(d) Currency of Award
(e) Offsets
(8) Optional Elements: Judicial Role
(a) Entry of Judgment
(b) Judicial Review: Limited
(c) Judicial Review: Expanded
(d) Designating a Judicial Forum for Enforcement of the Arbitration Agreement
(9) Optional Elements: Other
(a) Affiliates
(b) Assignment
(c) Contractual Limitations Periods
(10) Submission Agreements for Existing Disputes
(11) Alternative Clauses
(a) Sole Option (Asymmetrical) Clauses
(b) Complementary Arbitration and Litigation
(c) Baseball Arbitration

Chapter 7: Negotiation or Mediation as a First Step Before Arbitration

(1) The Utility of Negotiation or Mediation as a Mandatory First Step
(2) Drafting Tips
(3) Recommended Clauses for Negotiation or Mediation as a First Step

Chapter 8: Joinder and Intervention Clauses for Multi-Party Contracts

(1) Challenges
(2) Solutions

Chapter 9: Consolidation Clauses for Related Contracts

(1) Stand-Alone Consolidation Protocol
(2) Consolidation Clause
(3) Fallback Option

Chapter 10: Expert Determination and Dispute Boards

(1) Standard or Institutional Expert Determination Clauses
(a) FIDIC
(b) World Bank
(c) ICC
(d) Ad Hoc Expert Determination Clauses

Chapter 11: Sovereign Contracts

(1) ICSID Arbitration Clauses
(a) ICSID Model Clause
(b) Jurisdictional Issues
(c) Venue
(d) Confidentiality
(e) Fallback Provision
(f) Assignment of ICSID Arbitration Agreements
(2) Alternatives to ICSID Arbitration for Sovereign Contracts
(a) UNCITRAL Arbitration
(b) ICSID Additional Facility
(c) Permanent Court of Arbitration
(3) Waiving Immunity as to Enforcement

Chapter 12: China Contracts

(1) Overview for Chinese Arbitration Law
(2) Drafting Tips for "Domestic" or "Foreign Related" Contracts
(3) Note on Model ICC China Clause
(4) Recommended Clause for Arbitration Outside China
(5) Recommended Clause for CIETAC Arbitration

Chapter 13: Choice of Law Clauses

(1) Choice of Substantive Law in Relation to Choice of Dispute Resolution Method
(2) Suggested Choice of Law Clauses
(3) Lex mercatoria; ex aequo et bono; amiable composition
(4) Convention on the International Sale of Goods

Appendices (Also on CD ROM)

Appendix 1 Model and Standard Clauses for Institutional Arbitration
Appendix 2 Model and Standard Clauses for Non-Administered (Ad Hoc) Arbitration
Appendix 3 Affiliates
Appendix 4 Amicus Participation
Appendix 5 Arbitral Jurisdiction To Decide Arbitral Jurisdiction
Appendix 6 Arbitrators, Method of Selection and Number
Appendix 7 Arbitrators, Qualifications
Appendix 8 Assignment of ICSID Arbitration Agreements
Appendix 9 Baseball Arbitration Clause
Appendix 10 China Contracts
Appendix 11 Choice of Arbitration Law
Appendix 12 Choice of Substantive Law
Appendix 13 Complementary Arbitration and Litigation Clauses
Appendix 14 Confidentiality
Appendix 15 Consolidation
Appendix 16 Costs and Fees
Appendix 17 Currency of Award
Appendix 18 Document Disclosure
Appendix 19 Dispositive Applications
Appendix 20 Entry of Judgment
Appendix 21 Expert Referral Clauses
Appendix 22 ICSID Clauses
Appendix 23 Interest
Appendix 24 Judicial Forum for Enforcement of Arbitration Agreement
Appendix 25 Judicial Review, Exclusive
Appendix 26 Judicial Review, Expanded
Appendix 27 Language
Appendix 28 Limitations Periods
Appendix 29 Mediation as a First Step
Appendix 30 Multi-Party Contracts
Appendix 31 Narrow Scope
Appendix 32 Negotiation as a First Step
Appendix 33 Negotiation and Mediation as Two Steps in a Three-Step Clause
Appendix 34 Offsets
Appendix 35 Place of Arbitration
Appendix 36 Presentation of Evidence
Appendix 37 Provisional Measures
Appendix 38 Punitive Damages
Appendix 39 Sole Option Clauses
Appendix 40 Sovereign Contracts
Appendix 41 Specifying the Current or Updated Rules
Appendix 42 Submission Agreements for Existing Disputes
Appendix 43 Time Limits and Fast-Tracking
Appendix 44 Tribunal-appointed Experts
Appendix 45 U.S. Contracts
Appendix 46: Multi-Party Contracts II – Joint Nominations

Index

Table of Cases

Bibliography

Author Detail

Paul Friedland is a Partner at White & Case LLP and Chair of the firm's International Arbitration Practice Group. Mr. Friedland was Chair of the Task Force that developed the recent "IBA Guidelines for Drafting International Arbitration Clauses." Mr. Friedland is Chair of the Law Committee and a Member of the Board of Directors of the AAA and a Court Member of the LCIA.