Restatement of the Law,

The U.S. Law of International Commercial and Investment Arbitration

This work spans a broad range of legal issues arising inthe American law of international commercial arbitration. A comprehensive project, its scope includes arbitration agreements, the judicial role in the U.S. and abroad, enforcement and preclusive effect of international arbitral awards rendered in the U.S. and abroad, and ICSID Convention arbitration. 

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  •  
    Tentative Draft No. 6
    Tentative Draft No. 6
    210 pages, 2018, #1RICATD6

    Project Status at a Glance

    Foreword

    Reporters’ Memorandum

    Chapter 1 GENERAL PROVISIONS

    TOPIC 2 FEDERAL PREEMPTION OF STATE LAW

    § 1-2. Federal Preemption of State Law Grounds for Declining to Enforce International Arbitration Agreements

    § 1-3. Federal Preemption of State Laws Reallocating Authority from the Arbitral Tribunal to a Court

    § 1-4. Preemption of State Law Provisions Permitting Court Involvement in or Regulating the Conduct of International Arbitral Proceedings

    § 1-5. Federal Preemption of State Law Grounds for Post-Award Relief

    § 1-6. Federal Preemption of State Law Procedures for Challenging or Enforcing International Arbitration Agreements and for Post-Award Relief

    Chapter 3 THE JUDICIAL ROLE IN CONNECTION WITH THE ARBITRAL PROCEEDING

    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 MULTI-PARTY 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

    APPENDICES

    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 - Black Letter of Tentative Draft No. 6

    Appendix E - Other Relevant Black-Letter Text

    Tentative Draft No. 6 contains Topic 2, Federal Preemption of State Law, of Chapter 1, and Chapter 3, The Judicial Role in Connection with the Arbitral Proceeding. The draft was approved by the membership at the 2018 Annual Meeting, subject to the discussion at the Meeting and the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text of the entire project is published.

    210 pages, 2018, #1RICATD6E

    Project Status at a Glance

    Foreword

    Reporters’ Memorandum

    Chapter 1 GENERAL PROVISIONS

    TOPIC 2 FEDERAL PREEMPTION OF STATE LAW

    § 1-2. Federal Preemption of State Law Grounds for Declining to Enforce International Arbitration Agreements

    § 1-3. Federal Preemption of State Laws Reallocating Authority from the Arbitral Tribunal to a Court

    § 1-4. Preemption of State Law Provisions Permitting Court Involvement in or Regulating the Conduct of International Arbitral Proceedings

    § 1-5. Federal Preemption of State Law Grounds for Post-Award Relief

    § 1-6. Federal Preemption of State Law Procedures for Challenging or Enforcing International Arbitration Agreements and for Post-Award Relief

    Chapter 3 THE JUDICIAL ROLE IN CONNECTION WITH THE ARBITRAL PROCEEDING

    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 MULTI-PARTY 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

    APPENDICES

    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 - Black Letter of Tentative Draft No. 6

    Appendix E - Other Relevant Black-Letter Text

    Tentative Draft No. 6 contains Topic 2, Federal Preemption of State Law, of Chapter 1, and Chapter 3, The Judicial Role in Connection with the Arbitral Proceeding. The draft was approved by the membership at the 2018 Annual Meeting, subject to the discussion at the Meeting and the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text of the entire project is published.

     
  •  
    Tentative Draft No. 5
    Tentative Draft No. 5
    202 pages, 2017, #1RICATD5

    Project Status at a Glance  xiii

    Foreword  xv

    Reporters’ Memorandum   xix

                                                                          Chapter 1                                              

    GENERAL PROVISIONS

    TOPIC 1. DEFINITIONS

    § 1-1. Definitions   1

    Chapter 5

    INVESTOR–STATE ARBITRATION

    Introductory Note   25

    TOPIC 1. LAW GOVERNING THE JUDICIAL ROLE IN INVESTOR–STATE

    ARBITRATION

    § 5-1. Legal Framework Governing the Judicial Role in Investor–State

                Arbitration   30

    TOPIC 2. ENFORCEMENT OF THE OBLIGATION TO ARBITRATE

    § 5-2. Enforcement of the Arbitration Agreement  43

    § 5-3. Defenses to Enforcement of Agreements to Arbitrate an

                Investor–State Dispute  50

    TOPIC 3. COURT INVOLVEMENT IN INVESTOR–STATE

    ARBITRAL PROCEEDINGS

    § 5-4. The Judicial Role in Investor–State Arbitral Proceedings  58

    TOPIC 4. POST-AWARD RELIEF IN INVESTOR–STATE ARBITRATION

    § 5-5. Grounds for Post-Award Relief in Connection with Investor–State

                Arbitration  70

    § 5-6. The Conduct of Post-Award Actions in Connection with

                Investor–State Awards  83

    APPENDICES

    Appendix A - Convention on the Recognition and Enforcement of Foreign

                              Arbitral Awards  103

    Appendix B - Inter-American Convention on International Commercial

                              Arbitration   109

    Appendix C - Federal Arbitration Act   113

    Appendix D - Convention on the Settlement of Investment Disputes between

                              States and Nationals of Other States  121

    Appendix E - ICSID Convention Implementing Legislation  133

    Appendix F - Black Letter of Tentative Draft No. 5   135

    Appendix G - Other Relevant Black-Letter Text  143

    Tentative Draft No. 5 contains part of Chapter 1, General Provisions (Topic 1, Definitions, § 1-1 (5a)-(5n)), and all of Chapter 5, Investor-State Arbitration. The draft was approved by the membership at the 2017 Annual Meeting, subject to the discussion at the Meeting and the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.

    202 pages, 2017, #1RICATD5E

    Project Status at a Glance  xiii

    Foreword  xv

    Reporters’ Memorandum   xix

                                                                          Chapter 1                                              

    GENERAL PROVISIONS

    TOPIC 1. DEFINITIONS

    § 1-1. Definitions   1

    Chapter 5

    INVESTOR–STATE ARBITRATION

    Introductory Note   25

    TOPIC 1. LAW GOVERNING THE JUDICIAL ROLE IN INVESTOR–STATE

    ARBITRATION

    § 5-1. Legal Framework Governing the Judicial Role in Investor–State

                Arbitration   30

    TOPIC 2. ENFORCEMENT OF THE OBLIGATION TO ARBITRATE

    § 5-2. Enforcement of the Arbitration Agreement  43

    § 5-3. Defenses to Enforcement of Agreements to Arbitrate an

                Investor–State Dispute  50

    TOPIC 3. COURT INVOLVEMENT IN INVESTOR–STATE

    ARBITRAL PROCEEDINGS

    § 5-4. The Judicial Role in Investor–State Arbitral Proceedings  58

    TOPIC 4. POST-AWARD RELIEF IN INVESTOR–STATE ARBITRATION

    § 5-5. Grounds for Post-Award Relief in Connection with Investor–State

                Arbitration  70

    § 5-6. The Conduct of Post-Award Actions in Connection with

                Investor–State Awards  83

    APPENDICES

    Appendix A - Convention on the Recognition and Enforcement of Foreign

                              Arbitral Awards  103

    Appendix B - Inter-American Convention on International Commercial

                              Arbitration   109

    Appendix C - Federal Arbitration Act   113

    Appendix D - Convention on the Settlement of Investment Disputes between

                              States and Nationals of Other States  121

    Appendix E - ICSID Convention Implementing Legislation  133

    Appendix F - Black Letter of Tentative Draft No. 5   135

    Appendix G - Other Relevant Black-Letter Text  143

    Tentative Draft No. 5 contains part of Chapter 1, General Provisions (Topic 1, Definitions, § 1-1 (5a)-(5n)), and all of Chapter 5, Investor-State Arbitration. The draft was approved by the membership at the 2017 Annual Meeting, subject to the discussion at the Meeting and the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.

     
  •  
    Tentative Draft No. 4
    Tentative Draft No. 4
    384 pages, 2015, #1RICATD4

    Project Status at a Glance

    Foreword

    Reporters’ Memorandum

     

    Chapter 1 - General Provisions

    Topic 1. Definitions

    § 1-1. Definitions

     

    Chapter 2 - Enforcement of The Arbitration Agreement

    Topic 1. General Provisions

     

    § 2-1. Obligation to Enforce Arbitration Agreements

    § 2-2. Legal Framework Governing Enforcement of Arbitration Agreements

    § 2-3. Parties to the Arbitration Agreement

    § 2-4. Requirements of Form for Enforcement of Arbitration Agreements

    § 2-5. Reciprocity

    § 2-6. Burden of Proof

    § 2-7. Separability of the Arbitration Agreement

    § 2-8. Competence of the Tribunal to Determine its Own Jurisdiction

     

    Topic 2. Defenses to Enforcement of an Arbitration Agreement

     

    § 2-9. Defenses to Enforcement of Arbitration Agreements – Generally

    § 2-10. Waiver of Defenses to Enforcement of an Arbitration Agreement

    § 2-11. Effect of Prior Determinations on Enforceability of an International Arbitration Agreement

    § 2-12. Non-Existence of Arbitration Agreement

    § 2-13. Arbitration Agreement Null and Void

    § 2-14. Matter Beyond Scope of Arbitration Agreement

    § 2-15. Subject Matter Incapable of Resolution by Arbitration

    § 2-16. Contrary to Public Policy

    § 2-17. Arbitration Agreement Inoperative or Incapable of Performance

    § 2-18. Failure of Precondition to Arbitration

    § 2-19. Waiver of the Right to Arbitrate

    § 2-20. Undue Delay in Commencing Arbitration

    § 2-21. Preclusive Effect of Prior Awards

     

    Topic 3. Conduct of Proceedings To Enforce Arbitration Agreements

     

    § 2-22. Subject Matter Jurisdiction to Enforce International Arbitration Agreements

    § 2-23. Personal Jurisdiction to Enforce International Arbitration Agreements

    § 2-24. Sovereign Immunity and Act of State in Enforcement of International Arbitration Agreements

    § 2-25. Forum Non Conveniens and Enforcement of International Arbitration Agreements

    § 2-26. Statute of Limitations for Enforcing International Arbitration Agreements

    § 2-27. Procedural Issues in Enforcing International Arbitration Agreements

    § 2-28. Anti-Suit Injunctions in Aid of Arbitration

    § 2-29. Availability of Anti-Arbitration Injunctions

    § 2-30. Appeal from Rulings on Enforcement of International Arbitration Agreements

     

    Appendices

     

    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 - Black Letter of Tentative Draft No. 4

    Appendix E – Other Relevant Black-Letter Text

    This draft covers Chapter 2, Enforcement of the Arbitration Agreement; Topic 1. General Provisions; Topic 2. Defenses to Enforcement of an Arbitration Agreement; and Topic 3. Conduct of Proceedings to Enforce Arbitration Agreements. Sections 1-1(r) and 1-1 (ff) of Chapter 1 and all of Chapter 2 were approved by the membership at the 2015 Annual Meeting, subject to discussion at the Meeting and to editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.

    384 pages, 2015, #1RICATD4E

    Project Status at a Glance

    Foreword

    Reporters’ Memorandum

     

    Chapter 1 - General Provisions

    Topic 1. Definitions

    § 1-1. Definitions

     

    Chapter 2 - Enforcement of The Arbitration Agreement

    Topic 1. General Provisions

     

    § 2-1. Obligation to Enforce Arbitration Agreements

    § 2-2. Legal Framework Governing Enforcement of Arbitration Agreements

    § 2-3. Parties to the Arbitration Agreement

    § 2-4. Requirements of Form for Enforcement of Arbitration Agreements

    § 2-5. Reciprocity

    § 2-6. Burden of Proof

    § 2-7. Separability of the Arbitration Agreement

    § 2-8. Competence of the Tribunal to Determine its Own Jurisdiction

     

    Topic 2. Defenses to Enforcement of an Arbitration Agreement

     

    § 2-9. Defenses to Enforcement of Arbitration Agreements – Generally

    § 2-10. Waiver of Defenses to Enforcement of an Arbitration Agreement

    § 2-11. Effect of Prior Determinations on Enforceability of an International Arbitration Agreement

    § 2-12. Non-Existence of Arbitration Agreement

    § 2-13. Arbitration Agreement Null and Void

    § 2-14. Matter Beyond Scope of Arbitration Agreement

    § 2-15. Subject Matter Incapable of Resolution by Arbitration

    § 2-16. Contrary to Public Policy

    § 2-17. Arbitration Agreement Inoperative or Incapable of Performance

    § 2-18. Failure of Precondition to Arbitration

    § 2-19. Waiver of the Right to Arbitrate

    § 2-20. Undue Delay in Commencing Arbitration

    § 2-21. Preclusive Effect of Prior Awards

     

    Topic 3. Conduct of Proceedings To Enforce Arbitration Agreements

     

    § 2-22. Subject Matter Jurisdiction to Enforce International Arbitration Agreements

    § 2-23. Personal Jurisdiction to Enforce International Arbitration Agreements

    § 2-24. Sovereign Immunity and Act of State in Enforcement of International Arbitration Agreements

    § 2-25. Forum Non Conveniens and Enforcement of International Arbitration Agreements

    § 2-26. Statute of Limitations for Enforcing International Arbitration Agreements

    § 2-27. Procedural Issues in Enforcing International Arbitration Agreements

    § 2-28. Anti-Suit Injunctions in Aid of Arbitration

    § 2-29. Availability of Anti-Arbitration Injunctions

    § 2-30. Appeal from Rulings on Enforcement of International Arbitration Agreements

     

    Appendices

     

    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 - Black Letter of Tentative Draft No. 4

    Appendix E – Other Relevant Black-Letter Text

    This draft covers Chapter 2, Enforcement of the Arbitration Agreement; Topic 1. General Provisions; Topic 2. Defenses to Enforcement of an Arbitration Agreement; and Topic 3. Conduct of Proceedings to Enforce Arbitration Agreements. Sections 1-1(r) and 1-1 (ff) of Chapter 1 and all of Chapter 2 were approved by the membership at the 2015 Annual Meeting, subject to discussion at the Meeting and to editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.

     
  •  
    Tentative Draft No. 3
    Tentative Draft No. 3
    128 pages, 2013, #1R3ICATD3

    Restatement of the Law Third, The U.S. Law of International Commercial Arbitration, Tentative Draft No. 3

    Softbound  | 1R3ICATD3  | 2013  | 128 pages  | $25.00

    Chapter 4  - POST-AWARD RELIEF 

    [Previous Sections of Chapter 4 (§§ 4-1-4-25) appear in Tentative Draft No. 2 (2012).] 

    TOPIC 3 - CONDUCT OF POST-AWARD ACTIONS 

    § 4-26. Subject Matter Jurisdiction in Post-Award Actions 
    § 4-27. Personal Jurisdiction in Post-Award Actions 
    § 4-28. Sovereign Immunity and Act of State in Post-Award Actions 
    § 4-29. Forum Non Conveniens in Post-Award Actions 
    § 4-30. Proper Plaintiff 
    § 4-31. Proper Defendant 
    § 4-32. Statute of Limitations 
    § 4-33. Procedural Issues in Post-Award Actions 
    § 4-34. Appeal in Post-Award Action 

    TOPIC 4 - CORRECTION, MODIFICATION, AND REMAND OF AWARDS 

    § 4-35. Correction and Modification of Convention Awards Made in the United States 
    § 4-36. Remand to the Arbitral Tribunal of Convention Awards Made in the United 
    States 

    APPENDICES 

    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 – Black Letter of Tentative Draft No. 3 (including §§ 4-1-4-25 previously approved as part of Tentative Draft No. 2 (2012)) 

    This draft covers Chapter 4, Post Award Relief; Topic 3. Conduct of Post-Award Actions §§ 4-26 through 4-34; and Topic 4. Correction, Modification, and Remand of Awards §§ 4-35 and 4-36. The draft was approved by the membership at the 2013 Annual Meeting, subject to the discussion at the Meeting and to editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.

    128 pages, 2013, #1R3ICATD3E

    Restatement of the Law Third, The U.S. Law of International Commercial Arbitration, Tentative Draft No. 3

    Softbound  | 1R3ICATD3  | 2013  | 128 pages  | $25.00

    Chapter 4  - POST-AWARD RELIEF 

    [Previous Sections of Chapter 4 (§§ 4-1-4-25) appear in Tentative Draft No. 2 (2012).] 

    TOPIC 3 - CONDUCT OF POST-AWARD ACTIONS 

    § 4-26. Subject Matter Jurisdiction in Post-Award Actions 
    § 4-27. Personal Jurisdiction in Post-Award Actions 
    § 4-28. Sovereign Immunity and Act of State in Post-Award Actions 
    § 4-29. Forum Non Conveniens in Post-Award Actions 
    § 4-30. Proper Plaintiff 
    § 4-31. Proper Defendant 
    § 4-32. Statute of Limitations 
    § 4-33. Procedural Issues in Post-Award Actions 
    § 4-34. Appeal in Post-Award Action 

    TOPIC 4 - CORRECTION, MODIFICATION, AND REMAND OF AWARDS 

    § 4-35. Correction and Modification of Convention Awards Made in the United States 
    § 4-36. Remand to the Arbitral Tribunal of Convention Awards Made in the United 
    States 

    APPENDICES 

    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 – Black Letter of Tentative Draft No. 3 (including §§ 4-1-4-25 previously approved as part of Tentative Draft No. 2 (2012)) 

    This draft covers Chapter 4, Post Award Relief; Topic 3. Conduct of Post-Award Actions §§ 4-26 through 4-34; and Topic 4. Correction, Modification, and Remand of Awards §§ 4-35 and 4-36. The draft was approved by the membership at the 2013 Annual Meeting, subject to the discussion at the Meeting and to editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.

     
  •  
    Tentative Draft No. 2
    Tentative Draft No. 2
    448 pages, 2012, #1R3ICATD2

    Restatement of the Law Third, The U.S. Law of International Commercial Arbitration, Tentative Draft No. 2

    Softbound  | 1R3ICATD2  | 2012  | 448 pages  | $45.00  

    Chapter 1 - DEFINITIONS

    § 1-1. Definitions 

    Chapter 4 - POST-AWARD RELIEF 

    TOPIC 1 - GENERAL PROVISIONS

    § 4-1. Post-Award Actions—Generally 
    § 4-2. No Authority to Vacate Foreign Awards 
    § 4-3. Law Applicable to Post-Award Relief 
    § 4-4. Formal Requirements for Post-Award Relief 
    § 4-5. Reciprocity 
    § 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 Grant of Post-Award  Relief 
    § 4-9. Claim Preclusion 
    § 4-10. Issue Preclusion 

    TOPIC 2 - GROUNDS FOR POST-AWARD RELIEF

    § 4-11. Grounds for Post-Award Relief—Generally 

    SUBTOPIC (A). CONVENTION AWARDS

    § 4-12. Arbitration Agreement Does Not Exist or Is Invalid 
    § 4-13. Denial of Notice or Opportunity to Present Case 
    § 4-14. Award on Matters Beyond the Terms of the Submission to Arbitration 
    § 4-15. Arbitral Procedure or Composition of Arbitral Tribunal Violates Party Agreement or Law of the Arbitral Seat 
    § 4-16. Award Set Aside or Subject to Set-Aside Proceedings 
    § 4-17. Award Decides Matters Not Capable of Resolution by Arbitration 
    § 4-18. Post-Award Relief Violates Public Policy 

    SUBTOPIC (B). NON-CONVENTION AWARDS

    § 4-19. Award Procured by Corruption, Fraud, or Undue Means 
    § 4-20. Evident Partiality by the Arbitrators 
    § 4-21. Arbitrator Misconduct 
    § 4-22. Arbitral Tribunal Exceeded Its Powers 

    SUBTOPIC (C). PARTY MODIFICATION AND WAIVER OF GROUNDS

    § 4-23. Agreements to Expand Grounds for Post-Award Relief 
    § 4-24. Agreements to Reduce or Eliminate Grounds for Post-Award Relief 
    § 4-25. Waiver of Objections 

    TOPIC 3 - CONDUCT OF POST-AWARD ACTIONS

    § 4-26. Subject Matter Jurisdiction in Post-Award Actions 
    § 4-27. Personal Jurisdiction in Post-Award Actions 
    § 4-28. Sovereign Immunity and Act of State in Post-Award Actions 
    § 4-29. Forum Non Conveniens in Post-Award Actions 
    § 4-30. Proper Plaintiff 
    § 4-31. Proper Defendant 
    § 4-32. Statute of Limitations 
    § 4-33. Procedural Issues in Post-Award Actions 
    § 4-34. Appeal in Post-Award Action 

    TOPIC 4 - CORRECTION, MODIFICATION, AND REMAND OF AWARDS

    § 4-35. Correction and Modification of Convention Awards Made in the
    United States 
    § 4-36. Remand to the Arbitral Tribunal of Convention Awards Made in the
    United States 

    APPENDICES

    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 – Black Letter of Tentative Draft No. 2 
     

    This draft covers Chapter 1, Definitions, and Chapter 4, Post-Award Relief. Chapter 1 and §§ 4-1 through 4-25 of Chapter 4 were approved by the membership at the 2012 Annual Meeting. With regard to these Sections, T.D. No. 2 may be cited as representing the Institute’s position until the official text is published.

    448 pages, 2012, #1R3ICATD2E

    Restatement of the Law Third, The U.S. Law of International Commercial Arbitration, Tentative Draft No. 2

    Softbound  | 1R3ICATD2  | 2012  | 448 pages  | $45.00  

    Chapter 1 - DEFINITIONS

    § 1-1. Definitions 

    Chapter 4 - POST-AWARD RELIEF 

    TOPIC 1 - GENERAL PROVISIONS

    § 4-1. Post-Award Actions—Generally 
    § 4-2. No Authority to Vacate Foreign Awards 
    § 4-3. Law Applicable to Post-Award Relief 
    § 4-4. Formal Requirements for Post-Award Relief 
    § 4-5. Reciprocity 
    § 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 Grant of Post-Award  Relief 
    § 4-9. Claim Preclusion 
    § 4-10. Issue Preclusion 

    TOPIC 2 - GROUNDS FOR POST-AWARD RELIEF

    § 4-11. Grounds for Post-Award Relief—Generally 

    SUBTOPIC (A). CONVENTION AWARDS

    § 4-12. Arbitration Agreement Does Not Exist or Is Invalid 
    § 4-13. Denial of Notice or Opportunity to Present Case 
    § 4-14. Award on Matters Beyond the Terms of the Submission to Arbitration 
    § 4-15. Arbitral Procedure or Composition of Arbitral Tribunal Violates Party Agreement or Law of the Arbitral Seat 
    § 4-16. Award Set Aside or Subject to Set-Aside Proceedings 
    § 4-17. Award Decides Matters Not Capable of Resolution by Arbitration 
    § 4-18. Post-Award Relief Violates Public Policy 

    SUBTOPIC (B). NON-CONVENTION AWARDS

    § 4-19. Award Procured by Corruption, Fraud, or Undue Means 
    § 4-20. Evident Partiality by the Arbitrators 
    § 4-21. Arbitrator Misconduct 
    § 4-22. Arbitral Tribunal Exceeded Its Powers 

    SUBTOPIC (C). PARTY MODIFICATION AND WAIVER OF GROUNDS

    § 4-23. Agreements to Expand Grounds for Post-Award Relief 
    § 4-24. Agreements to Reduce or Eliminate Grounds for Post-Award Relief 
    § 4-25. Waiver of Objections 

    TOPIC 3 - CONDUCT OF POST-AWARD ACTIONS

    § 4-26. Subject Matter Jurisdiction in Post-Award Actions 
    § 4-27. Personal Jurisdiction in Post-Award Actions 
    § 4-28. Sovereign Immunity and Act of State in Post-Award Actions 
    § 4-29. Forum Non Conveniens in Post-Award Actions 
    § 4-30. Proper Plaintiff 
    § 4-31. Proper Defendant 
    § 4-32. Statute of Limitations 
    § 4-33. Procedural Issues in Post-Award Actions 
    § 4-34. Appeal in Post-Award Action 

    TOPIC 4 - CORRECTION, MODIFICATION, AND REMAND OF AWARDS

    § 4-35. Correction and Modification of Convention Awards Made in the
    United States 
    § 4-36. Remand to the Arbitral Tribunal of Convention Awards Made in the
    United States 

    APPENDICES

    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 – Black Letter of Tentative Draft No. 2 
     

    This draft covers Chapter 1, Definitions, and Chapter 4, Post-Award Relief. Chapter 1 and §§ 4-1 through 4-25 of Chapter 4 were approved by the membership at the 2012 Annual Meeting. With regard to these Sections, T.D. No. 2 may be cited as representing the Institute’s position until the official text is published.

     
  •  
    Tentative Draft No. 1
    Tentative Draft No. 1
    278 pages, 2010, #1R3ICATD1

    Restatement of the Law Third, The U.S. Law of International Commercial Arbitration, Tentative Draft No. 1

    Softbound  | 1R3ICATD1  | 2010  | 278 pages  | $40.00

    Chapter 1 
    DEFINITIONS 
    § 1-1. Definitions 

    Chapter 5 
    RECOGNITION AND ENFORCEMENT OF AWARDS 

    TOPIC 1 
    OBLIGATION TO RECOGNIZE AND ENFORCE INTERNATIONAL ARBITRAL AWARDS 
    § 5-1. Requirements for Recognition and Enforcement of International Arbitral Awards 
    § 5-2. Reciprocity 
    § 5-3. Law Applicable to Recognition and Enforcement of International Arbitral Awards 
    § 5-4. Burden of Proof of Entitlement to Recognition and Enforcement 
    § 5-5. Effect of Prior Judicial Determinations 

    TOPIC 2 
    GROUNDS FOR DENYING RECOGNITION AND ENFORCEMENT 
    § 5-6. Grounds for Denying Recognition and Enforcement of Convention Awards 
    § 5-7. Grounds for Denying Recognition and Enforcement of Non-Convention Awards 
    § 5-8. Arbitration Agreement Does Not Exist or Is Invalid 
    § 5-9. Denial of Notice or Opportunity to Present Case 
    § 5-10. Award on Matters Beyond the Terms of the Submission to Arbitration 
    § 5-11. Arbitral Procedure or Composition of Arbitral Tribunal Violates Party Agreement or Law of the Arbitral Seat 
    § 5-12. Award Set Aside or Subject to Set-Aside Proceedings 
    § 5-13. Award Decides Matters Not Capable of Arbitral Adjudication 
    § 5-14. Arbitral Award Violates Public Policy 
    § 5-15. Agreements to Expand Grounds for Denying Recognition and Enforcement 
    § 5-16. Agreements to Reduce or Eliminate Grounds for Denying Recognition or Enforcement 
    § 5-17. Waiver of Objections 

    TOPIC 3 
    ACTIONS TO ENFORCE AWARDS 
    § 5-18. Subject-Matter Jurisdiction in Actions to Enforce International Arbitral Awards 
    § 5-19. Personal Jurisdiction in Actions to Enforce International Arbitral Awards 
    § 5-20. Sovereign Immunity and Act of State 
    § 5-21. Forum Non Conveniens in Actions to Enforce International Arbitral Awards
    § 5-22. Proper Plaintiff 
    § 5-23. Proper Defendant 
    § 5-24. Statute of Limitations 
    § 5-25. Procedural Issues in Actions to Enforce International Arbitral Awards 
    § 5-26. Appeal from Trial Court’s Enforcement Ruling 

    APPENDICES 
    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 

    This draft is comprised of the following topics: Obligation to recognize and enforce international arbitral awards; Grounds for denying recognition and enforcement; Actions to enforce awards. Although its contents had not yet received the approval of ALI’s Council, the draft was approved by the membership at the 2010 Annual Meeting, subject to the discussion at the Meeting and to editorial prerogative. The later, Council-approved version of the draft is Council Draft No. 2, 2010.

    278 pages, 2010, #1R3ICATD1E

    Restatement of the Law Third, The U.S. Law of International Commercial Arbitration, Tentative Draft No. 1

    Softbound  | 1R3ICATD1  | 2010  | 278 pages  | $40.00

    Chapter 1 
    DEFINITIONS 
    § 1-1. Definitions 

    Chapter 5 
    RECOGNITION AND ENFORCEMENT OF AWARDS 

    TOPIC 1 
    OBLIGATION TO RECOGNIZE AND ENFORCE INTERNATIONAL ARBITRAL AWARDS 
    § 5-1. Requirements for Recognition and Enforcement of International Arbitral Awards 
    § 5-2. Reciprocity 
    § 5-3. Law Applicable to Recognition and Enforcement of International Arbitral Awards 
    § 5-4. Burden of Proof of Entitlement to Recognition and Enforcement 
    § 5-5. Effect of Prior Judicial Determinations 

    TOPIC 2 
    GROUNDS FOR DENYING RECOGNITION AND ENFORCEMENT 
    § 5-6. Grounds for Denying Recognition and Enforcement of Convention Awards 
    § 5-7. Grounds for Denying Recognition and Enforcement of Non-Convention Awards 
    § 5-8. Arbitration Agreement Does Not Exist or Is Invalid 
    § 5-9. Denial of Notice or Opportunity to Present Case 
    § 5-10. Award on Matters Beyond the Terms of the Submission to Arbitration 
    § 5-11. Arbitral Procedure or Composition of Arbitral Tribunal Violates Party Agreement or Law of the Arbitral Seat 
    § 5-12. Award Set Aside or Subject to Set-Aside Proceedings 
    § 5-13. Award Decides Matters Not Capable of Arbitral Adjudication 
    § 5-14. Arbitral Award Violates Public Policy 
    § 5-15. Agreements to Expand Grounds for Denying Recognition and Enforcement 
    § 5-16. Agreements to Reduce or Eliminate Grounds for Denying Recognition or Enforcement 
    § 5-17. Waiver of Objections 

    TOPIC 3 
    ACTIONS TO ENFORCE AWARDS 
    § 5-18. Subject-Matter Jurisdiction in Actions to Enforce International Arbitral Awards 
    § 5-19. Personal Jurisdiction in Actions to Enforce International Arbitral Awards 
    § 5-20. Sovereign Immunity and Act of State 
    § 5-21. Forum Non Conveniens in Actions to Enforce International Arbitral Awards
    § 5-22. Proper Plaintiff 
    § 5-23. Proper Defendant 
    § 5-24. Statute of Limitations 
    § 5-25. Procedural Issues in Actions to Enforce International Arbitral Awards 
    § 5-26. Appeal from Trial Court’s Enforcement Ruling 

    APPENDICES 
    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 

    This draft is comprised of the following topics: Obligation to recognize and enforce international arbitral awards; Grounds for denying recognition and enforcement; Actions to enforce awards. Although its contents had not yet received the approval of ALI’s Council, the draft was approved by the membership at the 2010 Annual Meeting, subject to the discussion at the Meeting and to editorial prerogative. The later, Council-approved version of the draft is Council Draft No. 2, 2010.Restatement Third, The U.S. Law of International Commercial Arbitration, Tentative Draft No. 1 2010 PDF