Commercial arbitration in Germany:
Gespeichert in:
| Beteiligte Personen: | , , |
|---|---|
| Format: | Buch |
| Sprache: | Englisch |
| Veröffentlicht: |
Oxford
Oxford University Press
2016
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| Ausgabe: | First edition |
| Links: | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=028931731&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
| Umfang: | liv, 473 Seiten |
| ISBN: | 9780199676811 019967681X |
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| 245 | 1 | 0 | |a Commercial arbitration in Germany |c Richard Kreindler ; Reinmar Wolff ; Markus S. Rieder |
| 250 | |a First edition | ||
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| 700 | 1 | |a Wolff, Reinmar |e Verfasser |0 (DE-588)131943413 |4 aut | |
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Datensatz im Suchindex
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| adam_text | CONTENTS
Table of Cases and Awards xxix
List of Abbreviations xlix
1. Introduction 1
Markus S. Rieder/Richard Kreindler
2. The Arbitration Agreement 29
Markus S. Rieder/Richard Kreindler
3. The Arbitral Tribunal 99
Markus S. Rieder/Richard Kreindler
4. The Arbitral Proceedings 171
Markus S. Rieder/Richard Kreindler
5. Interim Relief 243
Reinmar Wolff
6. The Arbitral Award 279
Reinmar Wolff
Annex A. German Code of Civil Procedure, Book 10:
Arbitration Procedure 383
Annex B. New York Convention 393
Annex C. UNCITRAL Recommendation 397
Annex D. European Convention 399
Annex E. UNCITRAL Notes on Organizing Arbitral
Proceedings 405
Annex F. IBA Rules on the Taking of Evidence in
International Arbitration 421
Annex G. IBA Guidelines on Conflicts of Interest in
International Arbitration 431
Bibliography 443
Index 459
IX
DETAILED TABLE OF CONTENTS
Table of Cases and Awards xxix
List of Abbreviations xlix
1. Introduction
Markus S. Rieder/Richard Kreindler
A. Overview 1.2
I. The Notion of Arbitration 1,3
II. Commercial Arbitration 1.4
III. A Brief History of Arbitration in Germany 1.6
IV. Selected Statistics 1.7
B. Commercial Arbitration in Germany against the Background
of German State Court Litigation 1.9
I. Overview of the German Legal and Court System 1.11
II. Relevant German Legal Traditions and Practices 1.13
1. Codified Law 1.14
2. No Binding Precedent, No Stare Decisis 1.15
3. Emphasis on Written Pleadings and the “Relationstechnik” 1.17
4. No Pre-trial Discovery and Only Limited
Document Disclosure 1.24
5. Active Role of Judges in Conducting the Proceedings 1.27
C. Key Features of the German Arbitration Law 1.30
I. The Constitutional and Statutory Legal Basis
under German Law 1.31
II. Noteworthy Features of the German Arbitration Law 1.34
III. Overview of Applicable General Legal Principles 1.39
1. Party Autonomy 1.40
2. Neutrality 1.41
3. Equal Treatment and the Right to be Heard 1.43
4. Procedural Efficiency 1.45
D. Potential Advantages and Disadvantages of Arbitration
in Germany 1.47
I. Potential Advantages over German State Courts 1.48
1. Influence on Choice of Decision-makers 1.49
2. Confidentiality 1.51
3. Tailor-made Proceedings 1.55
4. Speed? 1.57
xi
Detailed Table of Contents
II. Potential Disadvantages and Recent Criticisms 1.60
1. Cost and Efficiency 1-61
2. Settlement Pressure 1.65
3. Inclusion of Third Parties 1.68
III. Special Potential Advantages in the International Context 1.69
1. Intercultural Acceptance and Appropriate Language 1.70
2. Tailoring of Taking of Evidence 1.75
3. Enforcement of Awards Abroad Under the
New York Convention 1.76
E. Special Types of Arbitrations 1.77
I. Corporate Law Disputes, Including Challenge
of Shareholder Resolutions 1.78
II. Sports Arbitration 1.80
III. Labor Law Arbitration 1.81
IV. Administrative Law Arbitration 1.82
V. Public International Law Arbitration, Especially
Investment Arbitration L83
F. Alternative Dispute Resolution Mechanisms in Germany 1.84
I. Background and History 1.85
II. Mediation 1.86
1. German Mediation Act 1.87
2. Institutional Mediation Rules 1.91
3. Pros and Cons of Mediation 1.92
III. Expert Determination 1.93
IV. Adjudication and Dispute Boards 1.96
V. Combination of Various Dispute Resolution Mechanisms 1.97
1. Combination of Arbitration
and Expert Determination 1.98
2. Combination of Arbitration and Litigation 1.99
3. Med/Arb and Arb/Med 1.102
2. The Arbitration Agreement
Markus S. Rieder/Richard Kreindler
A. Overview 2.1
B. Required Content and Validity of
the Arbitration Agreement 2.3
I. Law Applicable to the Arbitration Agreement 2.4
II. Agreement of the Parties 2.11
1. Legal Nature of the Arbitration Agreement:
Substantive-law Agreement on Procedural-law Relations 2.12
2. General Requirements for a Party Agreement 2.18
3. Arbitration Agreement by Trade Usage 2.24
4. Amendment of Arbitration Agreements 2.29
III. Minimum Content 2.32
1. Dispute Related to a Defined Legal Relationship 2.33
2. Dispute Resolution by an Arbitral Tribunal 2.39
xii
Detailed Table of Contents
IV. Validity 2.44
1. The Separability Principle 2.45
2. Objective Arbitrability 2.48
a) General Principles 2.48
b) Exceptions 2.53
c) Arbitrability of Antitrust Disputes 2.58
d) Arbitrability of Corporate Law Disputes 2.59
3. Subjective Arbitrability 2.64
4. Form 2.67
a) General Principles 2.67
b) Arbitration Among Commercial Parties 2.73
c) Arbitration Involving Consumers 2.76
d) The Distinction Between Commercial Parties
and Consumers 2.81
e) Cure by Failure to Object 2.87
f) No Notarization Requirement 2.88
5. Further General Grounds for Invalidity 2.91
6. Grounds for Invalidity in Case of General Terms
and Conditions (AGB) 2.95
a) Commercial Arbitration 2.96
b) Consumer Arbitration 2.101
V. Interpretation of Arbitration Agreements 2.105
VI. Drafting Considerations, Pathological Clauses,
And “Less is More!” 2.117
C. Scope, Effects, and Termination of
the Arbitration Agreement 2.120
I. Personal Scope 2.121
1. Successors and Assignees 2.122
2. Joint Liability 2.125
3. Agreement for the Benefit of Third Parties 2.126
4. Corporate Law Matters 2.127
5. Insolvency Matters 2.130
II. Subject-matter Scope 2.131
1. Pre-contractual Claims 2.132
2. Enrichment and Tort Claims 2,133
3. Set-off and Counterclaims 2.134
III. Effects 2.135
1. Jurisdictional Objection in State Court Proceedings 2.136
a) General Principles 2.136
b) State Court Action on Admissibility
of Arbitral Proceedings 2.142
2. Cooperation and Good Faith Obligations of the Parties 2.145
3. Confidentiality 2.150
IV, Termination 2.153
1. Termination by Agreement 2.154
2. Unilateral Termination 2.156
3. Other Grounds for Termination 2.162
xm
Detailed Table of Contents
D. Typical Additional Content of the Arbitration Agreement 2.170
L Place of Arbitration 2.174
II. Language of the Proceedings 2.178
III. Selection of Applicable Substantive Law 2.183
1. Party Agreement and its Limitations 2.183
2. Determination in the Absence of Party Agreement 2.187
3. Decision Based on Equity and Fairness (ex aequo et bono;
amiable compositeur) 2.190
4. Ordre public Limitations, Especially Punitive Damages 2.192
IV. Institutional and ad hoc Arbitration 2.194
1. General Considerations 2.195
2. DIS 2.199
3. ICC 2.202
4. Construction Disputes 2.209
3. The Arbitral Tribunal
Markus S. Rieder/Richard Kreindler
A. Overview 3.1
B. Number of Arbitrators 3.2
I. Legal Framework 3.2
II. Panel of Three Arbitrators 3.3
1. General Considerations 3.3
2. The Role of the Chairman 3.7
III. Sole Arbitrator 3.9
IV. Other Options 3.11
C. Procedure for the Constitution of the Arbitral Tribunal 3.12
I. Legal Framework under the German Arbitration Law 3.13
1. Introduction and Overview of the Legal Framework 3.13
2. Party Autonomy and Statutory Default 3.19
3. Panel of Three Arbitrators 3.23
4. Sole Arbitrator 3.28
5. Multi-party Arbitration 3.30
6. Procedure for Appointment by Court 3.32
7. Appointment by Court due to Unfair Prejudice 3.35
II. DIS Rules 3.37
1. General Principles 3.37
2. Default Rule: Panel of Three Arbitrators 3.40
3. Sole Arbitrator 3.44
4. Multi-party Arbitration 3.45
5. Acceptance and Confirmation 3.46
III. ICC Rules 3.48
1. General Principles 3.48
2. Default Rule: Sole Arbitrator 3.49
3. Panel of Three Arbitrators 3.51
4. Multi-party Arbitration 3.53
5. Acceptance and Confirmation 3.54
xiv
Detailed Table of Contents
D. Selection of Arbitrators in German Practice 3.56
I. Typical Selection Criteria 3.57
1. Professional Background and Qualifications 3.58
a) Lawyer v. Non-lawyer 3.59
b) German-qualified Lawyer? 3.63
2. Experience in Arbitration 3.67
3. Language 3.70
4. Soft Skills and Soft Factors 3.72
5. Availability 3.77
IL Considerations on Certain Groups of Legal Professionals 3.79
1. Practicing Lawyers 3.80
2. German Judges 3.83
3. Law Professors; Public Officials 3.87
III. The Selection Process in German Practice 3.90
1. Where to Find Arbitrator Candidates 3.91
2. Research on Candidates 3.92
3. Initial Contact 3.93
4. In-person Meeting 3.95
5. Selection Decision 3.96
E. Challenge, Termination, and Replacement 3.98
I. Overview of Applicable Rules 3.99
1. Ad hoc Proceedings 3.100
2. Institutional Arbitration 3.104
3. IBA Guidelines on Conflicts of Interest
in International Arbitration 3.107
4. Significance at the Set Aside and Enforcement Stages 3.109
II. Lack of Independence or Impartiality 3.112
1. General Principles 3.113
2. Typical Situations 3.117
a) Personal Relations 3.118
b) Prior Involvement in the Subject Matter of the Dispute 3.121
c) Behavior During the Proceedings 3.123
3. Disclosure Obligation 3.128
III. Lack of Agreed Prerequisites 3.133
IV. Challenge Procedure 3.134
1. Challenge Declaration and the Two-week Deadline 3.136
2. Withdrawal or Consent by the Other Party 3.138
3. Decision by the Arbitral Tribunal 3.139
4. Court Review 3.141
5. Continued Arbitral Proceedings 3.143
V. Inability to Perform and Undue Delay 3.144
1. Inability to Perform 3.146
2. Undue Delay 3.149
3. Voluntary Withdrawal 3.150
4. Termination by Party Agreement 3.151
5. Termination by Court Decision 3.152
VI. Replacement 3.155
xv
Detailed Table of Contents
F. The Arbitrator Agreement 3.159
I. Legal Nature of the Arbitrator Agreement 3.160
II. Applicable Law 3.165
III. Conclusion of the Arbitrator Agreement 3.166
IV. Rights and Obligations of the Arbitrators and the Parties 3.170
1. Efficient Conduct of the Proceedings 3.171
2. Personal Obligation and the Use of Assistants 3.173
3. Instructions by the Parties 3.176
4. Remuneration 3.177
a) General Principles 3.177
b) Reimbursement of Expenses 3.182
c) Advances on Arbitrator Compensation and Expenses 3.184
5. Confidentiality 3.187
6. Accounting 3.188
7. Liability 3.189
V. Term and Termination 3.191
1. Effect of the Termination of the Arbitral Proceedings 3.192
2. Termination by Mutual Agreement 3.193
3. Unilateral Termination 3.195
a) Termination by the Parties 3.196
b) Termination by Arbitrators 3.199
4. Termination of the Office of an Arbitrator 3.203
4. The Arbitral Proceedings
Markus S. Rieder/Richard Kreindler
A. Overview 4.1
B. Legal Framework 4.2
I. Hierarchy of Applicable Procedural Rules 4.3
1. Mandatory Law 4.4
2. Party Agreement 4.6
3. Derogable Law 4.7
4. Discretion of the Tribunal 4.8
a) General Principles 4.9
b) Party Agreement and Tribunal Discretion 4.14
II. General Principles for the Conduct of Arbitral
Proceedings 4.18
1. Equal Treatment of the Parties 4.19
2. Right to be Heard 4.22
3. Limited Investigation 4.27
4. Procedural Efficiency and Duty to Further
the Proceedings 4.30
5. Procedural Good Faith 4.31
6. Right to be Represented by Counsel 4.33
C. Typical Structure and Frequent Steps of Arbitral Proceedings 4.37
I. Commencement of the Proceedings 4.38
1. Means and Methods of Initiation 4.39
a) German ad hoc Proceedings 4.39
xvi
Detailed Table of Contents
b) DIS Proceedings 4.47
c) ICC Proceedings 4.49
2. Legal Effects 4.52
II. Initial Submissions; Counterclaims 4.55
1. Statement of Claim 4.57
2. Statement of Defense 4.59
3. Burden of Substantiation and Proof 4.60
4. Preclusion 4.64
5. Deadlines and Default 4.67
6. Amendments to Statement of Claim and Statement
of Defense 4.73
7 Counterclaims, Set-off, and Retention Rights 4.78
8. Drafting Considerations 4.84
III. Initial Structuring of the Proceedings 4.87
IV. Initial Determinations 4.93
1. Amount in Dispute 4.93
2. Advance on Costs 4.98
3. Jurisdiction 4.100
a) Summary of Legal Framework 4.101
b) Preliminary Kompetenz-Kompetenz 4.104
c) Lack of Jurisdiction and Limits of Party Autonomy 4.105
d) Objection in Statement of Defense 4.107
e) Interim Award and State Court Review 4.108
V. Further Written Submissions 4.110
1. General Principles 4.110
2. Submission of Written Witness Statements 4.111
3. Submission of Reports of Party-appointed Experts 4.112
VI. Document Disclosure 4.113
1. General Principles 4.114
2. IBA Rules on the Taking of Evidence in
International Arbitration 4.115
3. Confidentiality and Privilege 4.122
VII. Oral Hearing 4.126
1. General Principles: Necessity, Usefulness, Timing 4.127
2. Venue 4.132
3. Participants and Privacy 4.134
4. Minutes; Court Reporter 4.138
5. Interpreter 4.141
6. Time Management 4,143
VIII. Taking of Evidence 4.146
1. Framework of Applicable Rules 4.14/
a) General Principles 4.148
b) Institutional Arbitration 4.154
c) IBA Rules on the Taking of Evidence
in International Arbitration 4.156
2. Witness Evidence and Party Examination 4.159
a) Legal Framework and General Principles 4.160
b) Written Witness Statements 4.164
xvii
Detailed Table of Contents
c) Witness Preparation 4.167
d) Witness Examination 4.169
e) State Court Assistance 4.175
3. Expert Evidence 4.177
a) General Principles and Legal Traditions 4.178
b) Party-appointed Experts 4.180
c) Tribunal-appointed Experts 4.182
d) Written Expert Report 4.189
e) Oral Examination of Experts and Expert Conferencing 4.190
f) Challenge of Experts 4.192
4. Documentary Evidence 4.193
5. Inspection 4.197
6. Securing of Evidence 4.198
7 Procedure for Assistance by State Courts and Taking
of Evidence Abroad 4.200
IX. Post-hearing Steps 4.203
1. Post-hearing Briefs 4.203
2. Cost Submissions 4.204
D. Special Situations 4.206
I. Multi-party Arbitrations 4.207
1. General Principles 4.207
2. Intervention ([Nebenintervention) and Third-party Notice
{Streitverkiindung) 4.212
3. Effect of Awards 4.214
4. Multi-party Situations in Institutional Arbitration 4.216
5. Class Arbitrations 4.218
II. Consolidation of Cases 4.219
III. Parallel Litigation and Arbitration 4.221
IV. Arbitrations Involving Sovereigns 4.223
V. Fast-track Arbitration 4.227
VI. Fraud, Money Laundering, and Corruption 4.229
5. Interim Relief
Reinmar Wolff
A. Overview 5.1
B. Interim Relief Before the State Courts 5.2
I. Access to State Courts Despite an Arbitration Agreement
(s 1033 ZPO) 5.3
1. Rationale 5.3
2. Scope of Application 5.5
a) Temporal Scope of s 1033 ZPO 5.5
b) Irrelevance of the Seat of Arbitration 5.6
3. Applicability of General Rules on Interim Measures and
Their Modification 5.7
4. Mandatory Nature of s 1033 ZPO? 5.11
XVUl
Detailed Table of Contents
IL Seizure 5.16
1. Request for Writ of Seizure 5.17
a) Admissibility 5.17
aa) General Prerequisites 5.17
bb) Request 5.18
cc) Competent Court 5.19
dd) Representation Before Court 5.22
ee) Legitimate Reason to Take Legal Action 5.23
b) Merits 5.24
aa) Claim to Seizure (Arrestanspruch) 5.25
bb) Grounds for a Writ of Seizure (Arrestgrund) 5.26
(1) Attachment {dinglicher Arrest) 5.27
(2) Arrest {persönlicher Arrest) 5.28
cc) Prima facie Evidence for Claim to Seizure
and Grounds for Writ of Seizure 5.29
2. Procedure, Decisions, and Remedies 5-30
a) Dismissal Without Oral Hearing 5.31
b) Order of Seizure Without Oral Hearing 5.32
c) Dismissal Following an Oral Hearing 5.34
d) Judgment Ordering Seizure Following
an Oral Hearing 5*36
3. Enforcement of a Writ of Seizure 5.38
a) Prerequisites 5.38
b) Means of Enforcement and Claim
for Damages 5.40
III. Injunctions 5.4l
1. Procedure 5.41
2. Types of Injunctions 5.44
a) Security Order (,Sicherungsverfügung), s 935 ZPO 5.45
b) Regulatory Order (.Regelungsveyfügung), s 940 ZPO 5.47
c) Order for Performance of a Claim
{Leistungsverfügung) 5.49
IV. Independent Evidence Proceedings {selbständiges
Beweisverfahren) 5.51
1. Admissibility 5.52
a) Consensual or Preservative Independent
Evidence Proceedings 5.53
aa) Requirements 5.54
bb) Means of Evidence 5.55
b) Independent Evidence Proceedings for the Avoidance of Legal Proceedings or Other
Legitimate Interests 5.56
aa) Requirements 5.57
bb) Means of Evidence 5.58
2. Competent Court 5.59
3. Representation Before Court 5.60
4. Application 5.61
5- Procedure 5.62
6. Effects 5.63
xix
Detailed Table of Contents
C. Interim Relief Before the Arbitral Tribunal
(s 1041 ZPO) 5*64
I. Preliminary Remarks 5.65
1. Legislative History 5.65
2. Non-mandatory Nature 5.66
3. Applicability to Foreign Proceedings 5.67
4. Emergency Arbitrators 5.70
II. The Arbitral TribunaPs Order of Interim Relief
(s 1041 para 1 ZPO) 5.71
1. Request by a Party 5.72
2. Procedure 5.73
3. Interim Measures of Protection 5.75
a) Prerequisites for Issuing Interim Measures 5.76
aa) The Arbitral Tribunals Discretion 5.76
bb) In Particular: Standard of Proof 5.78
b) Types of Interim Measures 5.79
aa) Interim Measures as the Arbitral Tribunal May
Consider Necessary 5.79
bb) In Respect of the Subject Matter of the Dispute 5.84
cc) Pre-judgment of the Main Action 5.85
c) Security (s 1041 para 1 cl 2 ZPO) 5.86
4. Form of Interim Measures 5.87
a) Form of Decision 5.87
b) Formal Requirements for Orders
of Interim Measures 5.89
5. Effects 5.90
a) Binding but not Compelling Effect for the Parties 5.90
b) No Binding Effect for the Tribunal 5.93
III. The Enforcement by the State Courts 5.94
1. Leave of Enforcement (s 1041 para 2 ZPO) 5.95
a) Admissibility 5.95
b) Merits 5.100
aa) Standard of Review 5.101
bb) Recast 5.105
c) Procedure 5.106
d) Effect 5.107
2. Repeal and Amendment (s 1041 para 3 ZPO) 5.110
3. Claim for Damages (s 1041 para 4 ZPO) 5-112
a) Claim 5.112
b) Enforcement 5.114
D. Relation Between Interim Relief Before the State
Court and the Arbitral Tribunal 5.115
I. Freedom of Choice for Interim Relief 5.116
1. Forum Selection by Party Agreement 5.116
2. Forum Selection by the Applicant 5.118
II. Parallel Requests for Interim Relief 5.121
xx
Detailed Table of Contents
6. The Arbitral Award
Reinmar Wolff
A. Overview 6.1
B, Procedures of Dispute Resolution 6.2
I. Resolution by Decision of the Arbitral Tribunal 6.3
1. Deliberation 6.4
a) Form and Style 6.5
b) Secrecy of Deliberations 6.8
aa) Relevance and Protective Function 6.8
bb) Waivability and Constraints 6.10
cc) Consequences 6.12
c) Presence of Third Persons 6.13
2. Voting (s 1052 ZPO) 6.16
II. Resolution by Settlement (s 1053 ZPO) 6.19
1. Settlement (s 1053 para 1 cl 1 ZPO) 6.20
a) Conclusion of a Settlement 6.20
aa) Settlement 6.21
bb) Settlement Between the Parties 6.22
cc) Settlement of the Dispute 6.23
dd) Settlement During the Arbitral Proceedings 6.25
b) Validity of the Settlement 6.26
c) Legal Effects 6.30
d) Effects of Invalid Settlements 6.31
2. Award on Agreed Terms 6.34
a) Procedure for Issuing an Award on Agreed Terms
(s 1053 para 1 cl 2 ZPO) 6.35
aa) Request by the Parties 6.36
bb) No Public Policy Violation 6.38
b) Form and Content of an Award on Agreed Terms
(s 1053 para 2 cl 1 ZPO) 6.39
c) Effects of an Award on Agreed Terms 6.4l
aa) Same Effect as any Other Award
(s 1053 para 2 cl 2 ZPO) 6.41
bb) Substitution of Form Requirements
(s 1053 para 3 ZPO) 6.43
d) Declaration of Enforceability
(s 1053 para 4 ZPO) 6.45
C. Rules Applicable to the Arbitral Tribunal s Decision on
the Merits and on Costs 6.46
I. Decision on Substance (s 1051 ZPO) 6.47
II. Decision on Costs (s 1057 ZPO) 6.48
1. General Overview 6.48
a) Procedure on Costs in State Court Proceedings 6.49
b) Procedure on Costs in Arbitral Proceedings 6.52
c) Jurisdiction of the Arbitral Tribunal 6.55
d) Relevant Relationship for Cost Decisions 6.57
xxi
Detailed Table of Contents
2. Allocation of Costs 6.60
a) Standard for Allocation 6.60
b) Form of Decision and Remedies 6.64
3. Amount of Costs 6.67
a) Fixed Costs 6.67
b) Standard for Decision on the Amount to be Borne 6.68
c) Individual Types of Costs 6.71
aa) Arbitrators5 Fees and Expenses 6.71
bb) Fees of the Arbitral Institution 6.74
cc) Court Fees 6.75
dd) Costs for Taking Evidence 6.77
ee) Costs for Legal Representation 6.79
ff) Other Expenses of the Parties 6.83
gg) Interest on Costs 6.84
d) Form of Decision and Remedies 6.85
D. Making of the Arbitral Award 6.86
I. Scope of Applicability: Notion of an Arbitral Award 6.87
II. Form and Content of the Arbitral Award
(s 1054 paras 1 to 3 ZPO) 6.91
1. Typical Elements of an Arbitral Award 6.91
2. Form (s 1054 para 1 ZPO) 6.92
a) Written Form 6.93
b) Signatures 6.94
3. Reasons (s 1054 para 2 ZPO) 6.97
4. Date and Place of Arbitration (s 1054 para 3 ZPO) 6.100
III. Dissenting Opinions 6.102
IV. Scrutiny of an ICC Award by the ICC Court
of Arbitration (art 33 ICC Rules) 6.104
V. Delivery of the Arbitral Award (s 1054 para 4 ZPO) 6.105
E. Effects of the Arbitral Award 6.108
I. Effects of a Final and Binding Court Judgment
(s 1055 ZPO) 6.109
1. Requirement of an Arbitral Award 6.110
2. S ubstantive 6.112
a) Effects of Substantive res judicata 6.112
b) Objective Scope of res judicata 6.115
c) Subjective Scope of res judicata 6.118
d) Temporal Scope of res judicata 6.120
3. Other Effects 6.122
4. Foreign Awards 6.125
II. Termination of the Proceedings (s 1056 para 1 ZPO) 6.126
F. Termination Order 6.128
I. Prerequisites 6.130
1. Failure of Claimant to State its Claim
(s 1056 para 2 no 1 lit a ZPO) 6.132
2. Withdrawal of Claim (s 1056 para 2 no 1 lit b ZPO) 6.133
xxii
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3. Party Agreement on the Termination of the Proceedings
(s 1056 para 2 no 2 ZPO) 6.135
4. Parties’ Failure to Pursue the Proceedings
(s 1056 para 2 no 3 option 1 ZPO) 6.136
5. Impossibility of Continuation of the Proceedings
(s 1056 para 2 no 3 option 2 ZPO) 6.137
6. Other Reasons 6.138
II. Form and Content 6.139
III. Effects 6.140
1. Termination of the Proceedings (s 1056 para 1 ZPO) 6.140
2. Other Effects 6.142
IV. Remedies 6.143
G. Correction, Interpretation, and Supplementation of
the Arbitral Award (s 1058 ZPO) 6.145
I. Correction (s 1058 para 1 no 1 ZPO) 6.146
II. Interpretation (s 1058 para 1 no 2 ZPO) 6.147
III. Additional Award (s 1058 para 1 no 3 ZPO) 6.148
IV. Request 6.149
1. Request by a Party (s 1058 paras 1, 4 ZPO) 6.149
2. Deadline (s 1058 para 2 ZPO) 6.150
V. Procedure 6.152
1. Right to be Heard 6.152
2. Deadline (s 1058 para 3 ZPO) 6.153
3. Form of Decision (s 1058 para 5 ZPO) 6.154
H. Setting Aside of Arbitral Awards (s 1059 ZPO) 6.156
I. Spirit and Purpose 6.156
II. Application for Setting Aside as the Only Recourse
(s 1059 para 1 ZPO) 6.159
1. Binding Effect of an Arbitral Award not yet Set Aside 6.159
2. No Incidental Review of an Arbitral Award 6.160
3. Other Remedies Against the Arbitral Award 6.161
4. Waiver of Remedies 6.165
III. Admissibility 6.167
1. Domestic Award 6.169
a) Limitation to Arbitral Awards 6.170
b) Void Awards 6.172
c) Limitation to Domestic Awards 6.173
2. Competent Court (s 1062 ZPO) 6.174
3. Proper Representation (s 1063 para 4, s 78 para 3 ZPO) 6.176
4. Specified Request for Relief 6.177
5. Application Deadline (s 1059 para 3 els 1—3 ZPO) 6.178
6. No Declaration of Enforceability (s 1059 para 3 cl 4 ZPO) 6.181
7. Grievance 6.182
8. Legitimate Reason to Take Legal Action 6.183
IV. Merits 6.185
1. Party Opposing the Application 6.186
2. Grounds for Setting Aside (s 1059 para 2 ZPO) 6.187
xxiii
Detailed Table of Contents
a) General 6.187
aa) Exhaustive Character 6.187
bb) No Mutual Exclusivity 6.188
cc) Burden of Proof 6.189
dd) No Binding Effect of the Arbitral
Tribunals Findings 6.190
ee) Sufficient Cause for Grounds for Setting
Aside Under s 1059 para 2 no 1 ZPO 6.191
b) Lack of Legitimation of the Arbitral Tribunal 6.193
aa) Invalidity of the Arbitration Agreement
(s 1059 para 2 no 1 lit a option 2 ZPO) 6.194
(1) General Grounds for Invalidity 6.194
(2) Lack of Form 6.196
(3) No Exclusion of the Ground for
Setting Aside 6.198
bb) Incapacity of a Party (s 1059 para 2 no 1 lit a
option 1 ZPO) 6.201
cc) Lack of Arbitrability (s 1059 para 2 no 2
lit a ZPO) 6.202
dd) Award Exceeding the Scope of the Arbitration
Clause (s 1059 para 2 no 1 lit c ZPO) 6.203
c) Severe Irregularities 6.206
aa) Party’s Inability to Present its Case
(s 1059 para 2 no 1 lit b ZPO) 6.207
bb) Flawed Composition of the Arbitral Tribunal
(s 1059 para 2 no 1 lit d option 1 ZPO) 6.213
(1) Flawed Composition 6.214
(2) Impact on the Arbitral Award 6.216
(3) Preclusion and Binding Prior Decisions 6.217
cc) Flawed Arbitral Procedure
(s 1059 para 2 no 1 lit d option 2 ZPO) 6.219
(1) Flawed Procedure 6.220
(2) Impact on the Arbitral Award 6.223
(3) Preclusion 6.224
dd) Public Policy Violation
(s 1059 para 2 no 2 lit b ZPO) 6.225
(1) Standard 6.226
(2) Procedural Public Policy 6,228
(3) Substantive Public Policy 6.231
V. Procedure 6.233
L Right to be Heard (s 1063 para 1 cl 2 ZPO) 6.234
2. Oral Hearing (s 1063 para 2 ZPO) 6,235
3. No Default judgments 6.236
4. Court Fees, Lawyer’s Fees, and Amount in Dispute 6.237
VI. Decision and Remedies 6.240
1. Form of Decision (s 1063 para 1 cl 1 ZPO) 6.240
2. Effects of an Order Setting Aside the Award 6.241
a) Effects on the Arbitral Awax*d 6.242
xxiv
Detailed Table of Contents
b) Effects on the Arbitration Agreement
(s 1059 para 5 ZPO) 6.243
c) Remission of the Case (s 1059 para 4 ZPO) 6.244
3. Remedy (s 1065 ZPO) 6.245
I. Enforceability of Domestic Arbitral Awards (s 1060 ZPO) 6.246
I. Spirit and Purpose 6.248
1. Recognition, Enforcement, and Declaration
of Enforceability 6.248
2. Need for a Declaration of Enforceability 6.253
a) Basis for Enforcement 6.253
b) Fortification Against Grounds for Setting Aside? 6.254
c) Basis for Altering a Legal Right or Status? 6.255
d) Basis for Recognition by Public Authorities? 6.256
3. Other Means to Enforce an Arbitral Award 6.257
a) Declaration of Enforceability of an Award on
Agreed Terms by a Public Notary 6.257
b) Actions Based on the Duty to Comply with
the Award 6.258
c) Actions Based on the Awarded Claim 6.260
II. Admissibility 6.261
1. Domestic Award 6.262
2. Specified Request for Relief 6.263
3. Legitimate Reason to Take Legal Action 6.265
III. Merits 6.269
1. Party Opposing the Application 6.270
2. Non-existence of Grounds for Setting Aside
(s 1060 para 2 cl 1 ZPO) 6.271
3. Exclusion of Grounds for Setting Aside 6.272
a) Final Rejection of an Application for Setting Aside
(s 1060 para 2 cl 2 ZPO) 6.272
b) Expiry of the Time Limit for Filing a Setting Aside
Application (s 1060 para 2 cl 3 ZPO) 6.273
c) Waiver of Grounds for Setting Aside 6.275
4. Substantive Law Objections Against the Awarded Claim 6.276
IV. Procedure 6.279
1. Right to be Eleard (s 1063 para 1 cl 2 ZPO) 6.280
2. Documents to Supply (s 1064 ZPO) 6.281
3. Oral Hearing (s 1063 para 2 ZPO) 6.282
4. Interim Measures (s 1063 para 3 ZPO) 6.283
V. Effects of an Order on the Declaration of Enforceability 6.284
1. Order Granting a Declaration of Enforceability 6.284
2. Order Denying a Declaration of Enforceability 6.286
J, Recognition and Enforceability of Foreign Arbitral Awards
(s 1061 ZPO) * 6.287
I. Spirit and Purpose 6.288
1. Recognition, Enforcement, and Declaration
of Enforceability 6.288
XXV
Detailed Table of Contents
2. Other Court Actions in the Context of Foreign
Arbitral Awards 6.292
II. Admissibility 6.296
1. Foreign Award 6.297
a) Limitation to Arbitral Awards 6.297
b) Limitation to Foreign Awards 6.303
2. Competent Court (s 1062 ZPO) 6.304
3. Legitimate Reason to Take Legal Action 6.305
III. Merits 6.306
1. Party Opposing the Application 6.307
2. Non-existence of Grounds for Denial
of Recognition and Enforceability (Art V NYC) 6.308
a) Invalidity of the Arbitration Agreement
(Art V para 1 lit a option 2 NYC) 6.310
b) Non-binding Award (Art V para 1 lit e NYC) 6.313
c) Public Policy Violation (Art V para 2 lit b NYC) 6.315
aa) Standard 6.316
bb) Procedural International Public Policy 6.317
cc) Substantive International Public Policy 6.322
3. Exclusion of Grounds for Denial of Recognition
and Enforceability 6.323
a) Preclusion due to Inactivity in
the Arbitral Proceedings 6.323
b) Preclusion due to Inactivity After
the Arbitral Proceedings 6.324
c) Waiver of Grounds for Denial of Recognition
and Enforceability 6.326
4. Substantive Law Objections Against
the Awarded Claim 6.327
IV. Procedure 6.328
1. General 6.328
2. Documents to Supply (s 1064 ZPO) 6.329
V. Effects of an Order on the Declaration of Enforceability 6.331
1. Order Granting a Declaration of Enforceability 6.331
2. Order Denying a Declaration of Enforceability
(s 1061 para 2 ZPO) 6.332
VI. Setting Aside the Declaration of Enforceability
(s 1061 para 3 ZPO) 6.333
VII. Other Treaties on the Recognition and Enforceability
of Foreign Arbitral Awards 6.334
Annex A. German Code of Civil Procedu re, Book 10:
Arbitration Procedure 383
Annex B. New York Convention 393
Annex C. UNCITRAL Recommendation 397
Annex D. European Convention 399
XXVI
Detailed Table of Contents
Annex E. UNCITRAL Notes on Organizing Arbitral Proceedings 405
Annex F. IBA Rules on the Taking of Evidence in International Arbitration Annex G. IBA Guidelines on Conflicts of Interest in International Arbitration
Bibliography
Index
459
xxvii
|
| any_adam_object | 1 |
| author | Kreindler, Richard H. 1959- Wolff, Reinmar Rieder, Markus S. |
| author_GND | (DE-588)130683469 (DE-588)131943413 (DE-588)128881615 |
| author_facet | Kreindler, Richard H. 1959- Wolff, Reinmar Rieder, Markus S. |
| author_role | aut aut aut |
| author_sort | Kreindler, Richard H. 1959- |
| author_variant | r h k rh rhk r w rw m s r ms msr |
| building | Verbundindex |
| bvnumber | BV043515670 |
| classification_rvk | PG 470 |
| ctrlnum | (OCoLC)952540574 (DE-599)BVBBV043515670 |
| discipline | Rechtswissenschaft |
| edition | First edition |
| format | Book |
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| id | DE-604.BV043515670 |
| illustrated | Not Illustrated |
| indexdate | 2024-12-20T17:38:24Z |
| institution | BVB |
| isbn | 9780199676811 019967681X |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-028931731 |
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| physical | liv, 473 Seiten |
| publishDate | 2016 |
| publishDateSearch | 2016 |
| publishDateSort | 2016 |
| publisher | Oxford University Press |
| record_format | marc |
| spellingShingle | Kreindler, Richard H. 1959- Wolff, Reinmar Rieder, Markus S. Commercial arbitration in Germany |
| title | Commercial arbitration in Germany |
| title_auth | Commercial arbitration in Germany |
| title_exact_search | Commercial arbitration in Germany |
| title_full | Commercial arbitration in Germany Richard Kreindler ; Reinmar Wolff ; Markus S. Rieder |
| title_fullStr | Commercial arbitration in Germany Richard Kreindler ; Reinmar Wolff ; Markus S. Rieder |
| title_full_unstemmed | Commercial arbitration in Germany Richard Kreindler ; Reinmar Wolff ; Markus S. Rieder |
| title_short | Commercial arbitration in Germany |
| title_sort | commercial arbitration in germany |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=028931731&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
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