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CHAPTER 1 Introduction&Thomas D. Halket1

Ⅰ. History1

Ⅱ. International IP Disputes3

Ⅲ. The Benefits of Arbitration for International IP Disputes10

A. Preservation of the Business Relationship11

B. Cost of the Proceedings12

C. Speed of the Proceedings17

D. Forum Location Selection-the Arbitral Seat18

E. Forum Neutrality25

F. Confidentiality of the Proceedings27

G. Sophisticated and Experienced Adjudicators, Particularly with Technology and IP Matters30

H. Controllable Proceedings Generally34

I. Controllable Timetable43

J. Avoidance of the Risk of Inconsistent Judgments44

K. Possible Limited Preclusive Effect of Award45

L. International Enforcement of Award48

Ⅳ. Conclusion52

CHAPTER 2 Arbitrability of Intellectual Property Disputes&Steven A. Certilman and Joel E. Lutzker55

Ⅰ. Introduction55

Ⅱ. The Impact of Arbitrability57

A. What is Arbitrability?57

B. The Significance of Arbitrability for Intellectual Property Disputes58

C. The Adjudication of Arbitrability59

Ⅲ. Arbitrability Issues Arising in IP Disputes66

A. Validity Claims72

B. Antitrust Issues83

C. Criminal Conduct84

D. Export Controls and other Trade Restrictions85

E. Other Disputes87

Ⅳ. Country Survey88

A. United States of America88

B. United Kingdom90

C. France91

D. Germany92

E. Switzerland93

F. People's Republic of China94

G. Singapore94

H. Japan95

Ⅴ. Conclusion95

CHAPTER 3 The Arbitration Agreement&Thomas D. Halket and Susan H. Nycum97

Ⅰ. Introduction97

Ⅱ. Importance of the Arbitration Agreement99

Ⅲ. Preliminary Issues101

A. Types of Arbitration Agreements101

B. When to Draft the Arbitration Provision102

C. Who Should Draft the Arbitration Provision?103

D. Sources of Model Agreements104

Ⅳ. Specific Drafting Issues107

A. Multi-step Resolution and Alternative Resolution Mechanisms107

B. Selection of the Administrative Body120

C. Scope of Disputes to Be Referred to Arbitration124

D. Place or Seat of the Arbitration130

E. Location of the Hearings132

F. The Selection of Arbitrators133

G. Language of the Arbitration143

H. Choice of the Law145

I. Confidentiality and Protection of Trade Secrets150

J. Permitted Discovery152

K. Matters Relating to the Conduct of the Hearings157

L. Allocation of Fees and Costs162

M. Sanctions166

N. Provisional and Conservancy Measures169

O. Limitations on the Bringing of Claims or the Granting of Damages172

P. The Award176

Ⅴ. Conclusion181

CHAPTER 4 The Rules of Selected Administrative Bodies Relevant to Intellectual Property Disputes&Frank L. Politano185

Ⅰ. Introduction185

Ⅱ. Important Factors in Selecting a Dispute Resolution Provider186

A. Preliminary Injunctive Relief186

B. Confidentiality and Privacy187

C. Adjudicators with Subject Matter Experience188

D. Discovery189

Ⅲ. Advantages and Disadvantages of Administered Arbitration189

Ⅳ. Overview of Administrative Body Rules190

A. World Intellectual Property Organization190

B. Internet Corporation for Assigned Names and Numbers Rules197

Ⅴ. Supplemental Rules199

A. The American Arbitration Association200

B. International Institute for Conflict Prevention and Resolution206

C. The International Chamber of Commerce209

D. JAMS211

E. The United Nations Commission on International Trade Law213

F. The London Court of International Arbitration214

G. The Singapore International Arbitration Centre216

H. Other Arbitral Centers218

Ⅵ. Conclusion219

CHAPTER 5 Choice of Arbitrator&James Bridgeman223

Ⅰ. Introduction223

Ⅱ. The Constitution and Composition of the Tribunal226

A. Number of Arbitrators226

B. Arbitrator Selection Procedures230

Ⅲ. The Qualities and Qualifications of the Arbitrator235

A. Party Choice236

B. Mandatory Qualifications under the Law237

C. Mandatory and Optional Qualifications under Arbitral Rules239

D. Arbitrator Characteristics and Qualifications for IP Disputes240

E. Identifying and Selecting the Tribunal250

Ⅳ. The Principles of Independence and Impartiality252

A. The Nature of the Requirement of Independence253

B. Sources of Information and the Appointee's Duty of Disclosure264

C. Independence and Impartially Issues in IP Arbitrations265

Ⅴ. Conclusion267

CHAPTER 6 Confidentiality During and After Proceedings&Laura A. Kaster271

Ⅰ. Introduction271

Ⅱ. Privacy and Confidentiality under Institutional Rules274

A. The Privacy of the Proceedings275

B. Confidentiality of the Proceedings277

Ⅲ. Confidentiality under National Law288

A. United States Law on Arbitration Confidentiality289

B. United Kingdom Law on Arbitration Confidentiality302

C. The Law of Commonwealth Countries on Arbitration Confidentiality306

D. Swedish Law309

E. French Law310

F. Swiss Law310

Ⅳ. Protection of Business and Trade Secrets312

A. Definition of Business Secrets, Trade Secrets and Confidential Information312

B. Protective Measures316

Ⅴ. Remedies318

A. Remedies under National Law319

B. Remedies before the Arbitration Tribunal322

Ⅵ. Practical Conclusions322

CHAPTER 7 Disclosure and Admission of Evidence in the International Arbitration of Intellectual Property Disputes&Joseph P. Zammit, Todd R. Hambidge and Jamie Hu325

Ⅰ. Introduction-the Need for Disclosure in Intellectual Property Cases325

Ⅱ. The Background of Discovery and Disclosure in International Arbitration326

Ⅲ. General Practices in Modern International Arbitration330

A. Types of Evidence Admissible in International Arbitration331

B. Depositions and Interrogatories337

C. Third Party Discovery338

Ⅳ. Arbitral Rules Pertaining to Disclosure338

A. London Court of International Arbitration Rules339

B. AAA/ICDR Rules and Guidelines341

C. UNCITRAL Rules345

D. ICC Rules of Arbitration346

E. WIPO Arbitration Rules346

F. Singapore International Arbitration Centre Rules347

G. The Rules and Guidelines of the CPR348

H. JAMS International Rules and JAMS Rules352

I. IBA Evidence Guidelines355

Ⅴ. Electronic Document Disclosure359

A. Local National Law and Electronic Document Disclosure361

B. Arbitral Rules Regarding Electronic Document Disclosure362

C. The CIArb Protocol for E-Disclosure in Arbitration363

Ⅵ. The Seat of Arbitration and Its Effect on Disclosure365

A. United States' Laws that Aid Disclosure366

B. The English Arbitration Act of 1996369

C. The Singapore Arbitration Acts369

D. French Arbitration Law371

E. Swiss Private International Law Act371

F. Multinational Laws to Assist with Disclosure371

Ⅶ. Privilege and Its Effect on the Scope of Disclosure374

A. The Concepts of Privilege among Different Jurisdictions374

B. Privilege between Clients and Patent Agents376

C. The Rules of Arbitral Institutions with Respect to Privilege378

D. Proposals to Determine Privilege Issues in International IP Arbitration381

Ⅷ. Sanctions for Noncompliance with Arbitrator's Disclosure Ruling382

Ⅸ. Conclusion386

CHAPTER 8 Choice of Law&Theodore J. Folkman and David Lee Evans389

Ⅰ. Introduction389

Ⅱ. Law Governing the Merits390

A. The Factors used by the Tribunal to Choose the Applicable Substantive Law in the Absence of a Choice of Law by the Parties391

B. What Substantive Law Will the Tribunal Apply?401

C. Limits on the Parties' Freedom of Choice420

Ⅲ. Law Governing the Arbitration427

A. Law Governing the Arbitration in the Absence of a Choice of Law427

B. Limits on the Parties' Freedom of Choice430

Ⅳ. Law Governing the Arbitration Agreement431

Ⅴ. Conclusion433

CHAPTER 9 The Impact of Public Policy Considerations&Richard Kreindler and Anna G. Tevini437

Ⅰ. Introduction437

Ⅱ. Meaning and Function of Public Policy in International Arbitration438

A. The Function of Public Policy in International Arbitration Generally442

B. The Impact of Public Policy Considerations in IP Disputes444

Ⅲ. Public Policy Limitations in International Arbitration and their Particular Relevance to Intellectual Property Disputes446

A. Public Policy Limitations to Arbitration as Means of Dispute Settlement447

B. Public Policy Limitations to the Applicable Substantive and Procedural Law455

C. Public Policy Limitations to the Existence and Enforcement of the Arbitral Award461

D. Public Policy Considerations as Grounds for Vacatur of the Arbitral Award at the Seat of the Arbitration461

E. Key Issues in Public Policy Limitations on the Validity or Enforcement of Awards463

Ⅳ. Practical Relevance of Public Policy Considerations at Different Stages of the Arbitration473

A. Prior to Arbitration474

B. During Arbitration475

C. Post-Arbitration476

Ⅴ. Summary and Practical Considerations477

CHAPTER 10 Provisional and Final Remedies&John Fellas and Benjamin S. Thompson479

Ⅰ. Introduction479

Ⅱ. Preliminary Relief in Intellectual Property Arbitration479

A. Available Preliminary Relief481

B. The Scope of the Power of an Arbitral Tribunal to Grant Preliminary Relief484

C. Court-ordered Preliminary Relief Pending Arbitration488

D. Requirements for a Grant of Preliminary Relief491

E. Special Issues Arising in International Intellectual Property Disputes495

Ⅲ. Final Remedies in Intellectual Property Arbitration497

A. Injunctive and Declaratory Relief498

B. Money Damages503

C. Costs of Arbitration507

Ⅳ. Conclusion511

CHAPTER 11 Enforceability&Thierry Calame and Martin Aebi513

Ⅰ. Introduction513

Ⅱ. The New York Convention514

A. Scope of Application of the New York Convention-"Foreign" Arbitral Awards516

B. Proof of Existence of an International Arbitral Award518

C. Procedure for Obtaining Recognition and Enforcement of International Arbitral Awards520

D. Refusal of Recognition and Enforcement523

Ⅲ. Recognition and Enforcement of Awards Providing for Specific Performance or Permanent Injunctions535

Ⅳ. Enforceability of Interim Measures539

Ⅴ. The Preclusive Effect (Res Judicata or Related Principles) of International Arbitral Awards543

Ⅵ. The Duty of Arbitrators to Render Enforceable Awards545

Ⅶ. Conclusion547

TABLE OF AUTHORITIES551

TABLE OF CASES571

TABLE OF STATUES587

INDEX591