COMMERCIAL ARBITRATION
by Katalin Ligeti
LL.M. SHORT THESIS
COURSE:International Commercial ArbitrationPROFESSOR:Tibor Várady
CEUeTDCollectionCentral European University1051 Budapest, Nador utca 9.Hungary
© Central European UniversityMarch 29, 2010
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Esso Australia Resources Limited and Others contra The Honorable Sidney James Plowman (Minister forEnergy and Minerals)2
Pryles, Michael, The Leading Arbitrators Guide to International Arbitration, Confidentiality (Chapter 19), ed.by Lawrence W. Newman and Richard D. Hill, 2004, Juris Publishing Inc., p. 416
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L. A. Mistelis, ’Confidentiality and Third Party Participation; UPS v. Canada and Methanex Corporation v.United States’ (2005) 21 Arbitration International 211 quoted by George Burn and Alison Pearsall, Exceptions toConfidentiality in International Arbitration, ICC International Court of Arbitration Bulletin, 2009 SpecialSupplement, Confidentiality in Arbitration, Commentaries on Rules, Statutes, Case Law and Practice,International Chamber of Commmerce (ICC), 2009, p. 24
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Expert Report of Dr. Julian DM Lew in Esso/BHP v Plowman (1995) 11 Arbitration International No. 8, p. 285 Sundra Rajoo, Privacy and Confidentiality in Arbitration (2003) at
http://sundrarajoo.com/wp-content/uploads/2009/09/privacy_1_.pdf (2010-02-08)6
Leggatt J in the decision Oxford Shipping Co. Ltd v. Nippon Yusen Kaisha, (The Eastern Saga) (1984) quotedby Sundra Rajoo in Privacy and Confidentiality in Arbitration, see source above at note 37
As Redfern and Hunter notes „International commercial arbitration is not a public proceeding. It is essentially aprivate process and this is seen as a considerable advantage by those who do not want discussion in open court,with the possibility of further publication elsewhere, of the kind of allegations which can and do arise in
commercial disputes – allegations of bad faith, of misrepresentation, of technical or managerial incompetence, oflack of adequate financial resources, or whatever the case may be.” Allan Redfern, and Martin Hunter with Nigel
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CEUeTDCollectionBlackaby and Constantine Partasides, Law and Practice of International Commercial Arbitration, 2004 London,Sweet & Maxwell, p. 278
See supra note 59
See supra note 710
See supra note 5, London Court of Arbitration (LCIA) Rules, Article 30, the China International Economicand Trade Arbitration Commission Arbitration (CIETAC)Rules, Article 34, World Intellectual PropetyOrganization (WIPO) Rules, Articles 73-76
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Mason C. J., The Decision of the High Court of Australia in Esso/BHP v. Plowman, (1995) 11 ArbitrationInternational p. 24612
See supra note 2, p. 422.13
Ibid at p. 44614
See supra note 5, relevant cases: Ali Shipping Corp v. Shipyard Trogir (1988), Hassneh Insurance Co. of Israelv. Mew (1993)
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See supra note 5
Quentin Loh Sze On Sc, Edwin Lee Peng Khoon, Confidentiality in Arbitration: How far does it extend?,2007, Singapore Acadamy of Law, p.
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See supra note 2, p. 447
Confidentiality in Arbitration, a presentation by Adam Robb, at 39 Essex Street, Wednesday 5th May 2004, athttp://www.39essex.co.uk/resources/publications.php (2009-12-17)
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Sarah Walker, Bodil Ehlers, Lost in translation – what does confidentiality in arbitration really mean athttp://www.twobirds.com/English/News/Articles/Pages/Lost_in_translation_confidentiality_arbitration.aspx(2010-02-09)20
See supra note 2, p. 448
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Antonias Dimolitsa, Institutional Rules and National Regimes Relating to the Obligation of Confidentiality onParties in Arbitration in Confidentiality in Arbitration, ICC International Court of Arbitration Bulletin, 2009Special Supplement, Confidentiality in Arbitration, Commentaries on Rules, Statutes, Case Law and Practice,International Chamber of Commerce (ICC), p. 922
Supra note 2, p. 44923
In its 1996 Notes on Organizing Arbitral Proceedings, UNICITRAL stated that ‘there is no uniform answer innational laws as to the extent to which the participants in an arbitration are under the duty to observe the
confidentiality of information relating to the case’ and suggested that ‘the arbitral tribunal might wish to discussthat with the parties and, if considered appropriate, record any agreed principles on the duty of confidentiality’.
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See supra note 19.
Norwegian Arbitration Act, Chapter 1, section 5, supra note 21, p. 14
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Jeffrey W. Sarles: Solving the Arbitral Confidentiality Conundrum in International Arbitration athttp://www.appellate.net/articles/Confidentiality.pdf (2010-02-10)
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See supra note 21, p. 16 See supra note 26.29
See supra note 21, p. 1630
See supra note 21, p. 18, quote by the author, Antonias Dimolitsa from the case Dolling Baker v Merrett &Another
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CEUeTDCollection See supra note 26.
See supra note 21, p. 21, quote by the author from the caseNAFIMCO33
See supra note 21, p 2134
See supra note 2, p. 454
32
31
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See supra note 2, p. 455 See supra note 2, p. 456-458
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LCIA Arbitration Rules at http://www.lcia.org/ARB_folder/arb_english_main.htm#article26 (2010-03-06) American Arbitration Association – International Arbitration Rules (amended and effective September 1 2000)at http://www.jus.uio.no/lm/american.arbitration.association.international.arbitration.rules.2000/doc.html#129(2010-03-06)39
See supra note 21, p. 740
See supra note 21, p. 7
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See supra note 7, p. 30 See supra note 7, p. 31
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William W. Park, Arbitration of International Business Disputes, Studies in Law and Practice, OxfordUniversity Press, 2006 p. 383
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CEUeTDCollection Tibor Várady, John J. Barceló, III, Arthur T. von Mehren, International Commercial Arbitration, ATransnational Perspective, 4th Edition , West,2009 pp. 584-59545
Alexis Mourre, Alexandre Vagenheim, Is arbitral Jurisprudence more than a myth?, at
http://kluwerarbitrationblog.com/blog/2009/05/28/arbitral-jurisprudence-in-international-commercial-arbitration-the-case-for-a-systematic-publication-of-arbitral-awards-in-10-questions%E2%80%A6/ (2010-03-08)46 Ibid47
Ibid
44
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Chang-fa-Lo, On Balanced Mechanism of Publishing Arbitral Awards at
http://www.law.ntu.edu.tw/center/wto/project/admin/SharePics/A_08_05%20pp%20235_Chang-%20fa%20Lo.pdf (2010-03-07)49 There is no uniform definition of the term ’lex mercatoria’. Berthold Goldman describes it as „a spontaneouslaw, composed of professional usages, legal arrangements and contractual clauses about which one could andshould consider whether their repetition does not raise them to the level of customary institutions, of arbitralawards.” Pierre Duprey quotes Berthold Goldman in Do Arbitral Awards Constitute Precedents? Should
Commercial Arbitration Be Distinguished in this Regard from Arbitration Based on Investment Treaties?, IAISeries on International Arbitration No. 3.), Towards a Uniform International Arbitration Law?, ed. by A. V.Schlaepfer, P. Pinsall &L. Degos, Juris Publishing Inc., 2005, p. 260
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See supra note 48.
Alexis C. Brown, Presumption Meets Reality: An Exploration of the Confidentiality Obligation inInternational Commercial Arbitration, 16 AM. U. INT’L L. REV. 969, 1014, (2001)52
See supra note 48.
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Julian D.M. Lew, The case for the publication of arbitration awards, in The Art of Arbitration –Essays onInternational Arbitration- Liber Amicorum Pieter Sanders 12 September 1912-1982, p. 223 (Kluwer 1982),
quoted by Alexis Mourre in Precedent and Confidentiality in International Commercial Arbitration:The Case forthe Publication of Arbitral Awards, IAI Series on International Arbitration No. 5.), Precedent in InternationalArbitration, ed. by Y. Banifatemi, Juris Publishing Inc., 2008 p. 39
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See supra note 45. See supra note 48.56
See supra note 45.57
Ibid
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Ibid.
See supra note 2., p. 156
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The International Convention on Salvage, IMO 19, at
http://www.jus.uio.no/lm/imo.salvage.convention.19/doc.html#115 (2010-03-09)61 See supra note 45.
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See supra note 45. Ibid
Information on CLOUT at http://www.uncitral.org/uncitral/en/case_law.html (2010-03-09)
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Mauro Rubino-Sammertano, International Arbitration, Law and Practice, 2nd edition, Kluwer LawInternational, 2001, pp. 804-805
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Ibid at p.805
Fouchard, Gaillard, Goldman on International Commercial Arbitration athttp://books.google.hu/books?id=4QGmxU7-bKwC&pg=PA774&dq=remedies+in+case+of+breach+of+confidentiality,+arbitration&cd=2#v=onepage&q=&f=false (2010-03-10)68 Ibid69
See supra note 65, p. 805
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See supra note 65, p. 806
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See supra note 3, p. 28 Ibid at p. 2973
Ibid
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Ibid at p. 29
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Black’s Law Dictionary, Abridged 8th Edition, ed. by Bryan A. Garner, Thomson/West, 2005
Thomas Walde, Confidential Awards as Precedent in Arbitration: Dynamics and Implication of AwardPublication, IAI Series on International Arbitration No. 5.), Precedent in International Arbitration, ed. by Y.Banifatemi, Juris Publishing Inc., 2008, p. 11577
Ibid at p. 115
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Alexis Mourre, Precedent in International Arbitration, Precedent and Confidentiality in International
Commercial Arbitration: The Case for the Publication of Arbitral Awards, IAI Series on International ArbitrationNo. 5.), Precedent in International Arbitration, ed. by Y. Banifatemi, Juris Publishing 2008, p. 4179
Ibid at p. 4180
Ibid
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Pierre Duprey, Do Arbitral Awards Constitute Precedents? Should Commercial Arbitration Be Distinguishedin this Regard from Arbitration Based on Ivestment Treaties?, IAI Series on International Arbitration No. 3.,Towards a Uniform International Arbitration Law?, ed. by A. V. Schlaepfer, P. Pinsalle & L. Degos, JurisPublishing, 2005, p. 25882
Prof. Gabrielle Kaufmann-Kohler, Arbitral Precedent: Dream, Necessity or Excuse? – The 2006 FreshfieldsLecture, 23(3) ARB. INT’L 357(2007) quoted by Alexis Mourre, Precedent in International Arbitration,
Precedent and Confidentiality in International Commercial Arbitration: The Case for the Publication of ArbitralAwards, IAI Series on International Arbitration No. 5.) Precedent in International Arbitration, ed. by Y.Banifatemi, Juris Publishing 2008, p. 43
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See supra note 78, p. 44 Ibid at p. 4585
Ibid at p. 4686
Ibid87
Ibid88
Ibid
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Ibid at p. 47 Ibid
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Ibid at p. 48 Ibid93
See supra note 45
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See supra note 78, p 48 Ibid at p. 4296
Klaus Peter Berger, The International Arbitrators’ Application of Precedents, 9(4) J. INT’L ARB. 5, 19 (1992)quoted by Alexis Mourre,Precedent in International Arbitration, Precedent and Confidentiality in InternationalCommercial Arbitration: The Case for the Publication of Arbitral Awards, IAI Series on International ArbitrationNo. 5.) Precedent in International Arbitration, ed. by Y. Banifatemi, Juris Publishing 2008, p. 43
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L. Yves Fortier, The Occasionally Unwarranted Assumption of Confidentiality, Arbitration International, Vol.15 No. 2 (1999), pp 131-140, athttp://www.kluwerarbitration.com/arbitration/print.aspx?ipn=14324 (2010-03-18)98
Ibid99
Ibid100
See supra note 4
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Ibid
See supra note 45 and 48
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See supra note 78
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Confidentiality in Arbitration, a presentation by Adam Robb, at 39 Essex Street, Wednesday5th May 2004 at http://www.39essex.co.uk/resources/publications.php
Sarah Walker, Bodil Ehlers, Lost in translation – what does confidentiality in arbitrationreally mean? At
http://www.twobirds.com/English/News/Articles/Pages/Lost_in_translation_confidentiality_arbitration.aspxJeffrey W. Sarles: Solving the Arbitral Confidentiality Conundrum in InternationalArbitration athttp://www.appellate.net/articles/Confidentiality.pdfAlexis Mourre, Alexandre Vagenheim, Is arbitral Jurisprudence more than a myth? athttp://kluwerarbitrationblog.com/blog/2009/05/28/arbitral-jurisprudence-in-international-CEUeTDCollectioncommercial-arbitration-the-case-for-a-systematic-publication-of-arbitral-awards-in-10-questions%E2%80%A6/Chang-fa-Lo, On Balanced Mechanism of Publishing Arbitral Awards at
http://www.law.ntu.edu.tw/center/wto/project/admin/SharePics/A_08_05%20pp%20235_Chang-%20fa%20Lo.pdf46
bKwC&pg=PA774&dq=remedies+in+case+of+breach+of+confidentiality,+arbitration&cd=2#v=onepage&q=&f=falseL. Yves Fortier, The Occasionally Unwarranted Assumption of Confidentiality, ArbitrationInternational, Vol. 15 No. 2 (1999) at
http://www.kluwerarbitration.com/arbitration/print.aspx?ipn=14324http://www.uncitral.org/uncitral/en/case_law.html (information on the UNICITRAL CLOUTsystem)
Arbitration Rules, International Conventions
Arbitration Rules of the United Nations Commission on International Trade Law(UNICITRAL rules)
1998 Rules of Arbitration promulgated by International Chamber of Commerce (ICC)
CEUeTDCollectionAmerican Arbitration Association International Rules (AAA)
Arbitration Rules of the London Court of International Arbitration (LCIA)
Arbitration Rules of the China International Economic and Trade Arbitration Commission(CIETAC)
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