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Table Of Contents

1 A preliminary introduction
1.1 Purpose and nature
1.1.1 Definition of an award
1.1.2 Purpose of an award
1.1.3 Nature of an award
1.1.4 Requirement for natural justice
1.2 Relevant law
1.2.1 General
1.2.2 The Arbitration Act 1996
1.3 Requirements of an enforceable award
1.3.1 Formal requirements
1.3.1.1 Writing and signature
1.3.1.2 Identification of the parties
1.3.1.3 Recitals
1.3.1.4 Reasons
1.3.1.6 Statement of seat
1.3.1.7 Issues dealt with
1.3.1.8 Notification
1.3.2 Substantive requirements
1.3.2.1 Cogency
1.3.2.2 Completeness
1.3.2.3 Certainty
1.3.2.4 Finality
1.3.2.5 Enforceability
1.3.2.6 Jurisdiction
1.3.2.7 Legality
1.3.2.8 Possibility
1.3.2.9 Consistency
1.3.2.10 Compliance with submission
1.4 Distinctions from a judgment
1.5 Illustrative monetary award
2 Types of awards
2.1 Introduction
2.2 ‘Substantive’ awards
2.2.5.1 Rectification
2.2.5.2 Setting aside
2.2.5.3 Cancellation
2.3 ‘Supportive’ awards
2.3.5 Corrective or additional awards (section 57)
2.3.9 Awards following:
2.3.9.1 an earlier order giving provisional relief under section 39, or
Grants, Construction and Regeneration Act 1996)
2.4 ‘Procedural’ awards
2.4.2 Awards on abandonment
2.5 ‘Institutional’ awards
2.5.2 Awards under ‘consumer’ schemes
3.2.1 In general
3.2.2 Basic structure
3.3 A possible basic overall sequence and expanded checklist
3.3.1 Section A Heading
3.3.2 Section B Background
3.3.3 Section B1 Identification and jurisdiction
3.3.4 Section B2 Interlocutory procedural matters
3.3.5 Section B3 Hearing
3.3.6 Section C Submissions and evidence
3.3.7 Section D Analysis/findings/reasons/decisions on the substantive issues
3.3.8 Section E Value added tax implications
3.3.9 Section F Interest
3.3.10 Section G Costs
3.3.12 Section I Reserved matters
3.3.13 Section J Signature and formalities
3.3.14 Final check
4 An approach to decision-making
4.1 Background
4.2 Underlying matters
4.3 The components of decision-making
4.3.1 The substantive issue(s)
4.3.1.1 Basis of determination
4.3.1.2 Collation of information
4.3.1.3 Consideration of submissions
(2) Uncontested facts
(3) Documentary evidence
(4) Inspection of the subject matter
(5) Expert evidence
(6) Facts to be found from consideration of evidence
(8) The pleadings/opening and closing submissions
4.3.1.4 Determination, issue by issue
4.3.1.5 Accumulation of related issues (claim or counterclaim)
4.3.1.6 Decision-making tasks relating to the substantive issues
4.3.2 Value added tax
4.3.2.1 Background
(2) Likely circumstances
4.3.2.2 Decision-making tasks relating to VAT
4.3.3 Interest
4.3.3.1 Background
4.3.3.2 Decision-making tasks relating to interest
4.3.4 Costs
4.3.4.1 Background
(2) Costs follow the event, except
(3) Basis of determination of recoverable costs
(4) Effect of offer of settlement
(7) Arbitrator’s fees and expenses
4.3.4.2 Decision-making tasks relating to costs
4.3.5 Reserved matters
5 Synthesis of an award
5.1 Introduction to the illustrations
5.2 The basic scenario
5.3 Synthesis of an award
5.3.3.1 Identification of the parties [B1(a)]
5.3.3.2 Contract, or other relationship [B1(b)]
5.3.3.3 Law of the contract or other relationship [B1(c)]
5.3.3.4 Arbitration agreement [B1(d)]
5.3.3.5 Provisions for appointment [B1(e)]
5.3.3.7 A dispute having arisen [B1(g)]
5.3.3.8 Nature of the dispute and matters in issue [B1(h)]
5.3.3.10 Challenge to jurisdiction [B1(j)]
5.3.3.11 Basis for decision [B1(k)]
5.3.4.4 Use of ‘uncommon’ powers [B2(d)]
5.3.4.5 Clarification or amendment of matters in issue [B2(e)]
5.3.4.7 Issue(s) to be determined by this award [B2(g)]
5.3.4.8 Meetings: preliminary, further, pre-hearing review [B2(h)]
5.3.4.9 Consequent and subsequent applications and orders [B2(i)]
(1) Attended hearing or ‘documents only’ [B2(i)1]
(3) Disclosure and production of documents [B2(i)3]
(4) Exchange of witness proofs and experts’ reports [B2(i)4]
5.3.4.10 Resultant party action [B2(j)]
(2) Admissions or agreements, result of meeting(s) of experts[B2(j)2]
5.3.4.11 Other directions and/or administrative actions [B2(k)]
(3) Any valid ‘costs in any event’ agreement [B2(k)3]
(4) Any ‘costs in any event’ directions [B2(k)4]
5.3.4.12 Provisional orders [B2(l)]
5.3.4.13 Party default (and consequence) [B2(m)]
5.3.4.14 Peremptory orders [B2(n)]
5.3.4.15 Other relevant matters [B2(o)]
5.3.5.3 Failure to attend/ex-parte proceedings [B3(c)]
5.3.5.4 Representation and witnesses [B3(d)]
5.3.5.8 Agreed list of issues [B3(h)]
5.3.6.1 The contentions [C(a)]
5.3.6.2 Opening and closing submissions [C(b)]
5.3.6.3 Witnesses and evidence, if not covered in Section B: [C(c)]
(3) Equivalent description in ex-parte proceedings [C(c)3]
5.3.7 Analysis/findings/reasons/decisions on the substantive issues [D]
5.3.7.1 List of issues [D(a)]
5.3.7.3 Analysis of submissions and evidence [D(c)]
5.3.7.4 Summary of decisions on substantive issues [D(d)]
5.3.7.5 Amounts paid during period of arbitration [D(e)]
5.3.8 Value added tax implications [E]
5.3.8.1 Dealing with value added tax [E(a)-(c)]
5.3.11 Operative section (award) [H]
5.3.11.3 Conditions or terms [H(c)]
5.3.11.4 Time for performance [H(d)]
5.3.11.5 Post-award interest [H(e)]
5.3.11.6 Value added tax [H(f)]
6 Substantive awards
6.1 Introduction
6.2 A monetary award
6.3 A monetary award without any counterclaim
6.3.1 Where the claim is successful
6.4.1.5 Contentions re counterclaim [C(a)]
6.4.1.9 Costs – single event [G(c)]
6.4.1.10 Operative section [H]
6.4.2 Counterclaim which does not constitute a set-off
6.4.2.1 Background and submissions [B,C]
6.4.2.2 Counterclaim or set-off [D(c)6]
6.4.2.3 Interest [F]
6.4.2.4 Costs – separate events [G(c)]
6.4.2.5 Operative section [H]
6.4.2.6 Reserved matters [I]
6.4.3 Counterclaim variants
6.5 A declaratory award
6.6 A performance award
6.7 An injunctive award
6.8 A rectificative award
7 Supportive awards
7.1 Introduction
7.2 An award on jurisdiction
7.3 An agreed award
7.4 Awards on separate issues
7.4.1 The first award
7.4.2 Subsequent awards
7.5 An award on reserved matters
7.5.1 Award on matters other than the amount of recoverable costs
7.6 A corrective or additional award
7.6.1 A corrective award
7.6.2 An additional award
7.7 An award following remission
7.8 An award giving further reasons
7.9 An award following payment during the reference
7.9.1 Where that payment made no provision for interest
7.9.2 Where that payment made provision for interest
7.11 An unreasoned award
Ancillary awards
8.2 Procedural awards
8.2.1 An award dismissing the claim
8.2.2 An award on abandonment
8.2.2.1 Settlement in unknown amount
8.2.2.2 Abandonment as such
(1) A ‘Closing Order’
(a) Abandonment before acceptance of appointment
(b) Abandonment after acceptance of appointment
(2) It could have been an agreed award, but
8.3 Institutional awards
8.3.1 An award under rules (or other statute)
8.3.2 An award under a ‘consumer’ scheme
8.4 Ancillary awards
8.4.1 When is an award (perhaps) not an award?
9 Examples of other options and variations in content
9.2 Format of this chapter
9.3 Options and variations
Section A
9.3.1 The heading [A]
Section B
9.3.2 Background [B]
Section B1
9.3.3 Identification and jurisdiction [B1]
(1) A claim in tort/submission agreement [B1(b)]
9.3.4 Interlocutory procedural matters [B2]
9.3.4.2 Interlocutory agreement on rules, powers or
(2) On consolidation, or concurrent hearings [B2(c)2]
9.3.4.3 Use of ‘uncommon’ powers [B2(d)]
9.3.4.5 Consequent and subsequent applications and orders [B2(i)]
(1) Attended hearing or ‘documents only’? [B2(i)1]
9.3.4.6 Resultant party action [B2(j)]
9.3.4.7 Other directions and/or administrative action [B2(k)]
9.3.4.8 Provisional orders [B2(l)]
9.3.4.9 Party default/peremptory orders [B2(m),(n)]
9.3.5.1 Failure to attend/ex-parte proceedings [B3(c)]
9.3.10.1 Award on reserved liability for costs/rejected offer
9.3.11 Operative section [H]
9.3.11.1 Time for performance/compliance [H(d)]
9.3.11.2 Post-award interest – starting date [H(e)]
9.3.11.3 Release or disposal of security for costs [H(g)]
9.4 Tribunals other than a sole arbitrator
9.6 Effect of party autonomy
Appendix 1 Expanded checklist from Chapter 3
P. 1
Arbitration Awards: A Practical Approach

Arbitration Awards: A Practical Approach

Ratings: (0)|Views: 48 |Likes:
Published by Wiley
‘Drawing on his long and practical experience [the author gives] guidance which only the foolhardy would reject without good reason for doing so. With this manual beside him, many an arbitrator will, I feel sure, sleep the sounder.’ - The Rt Hon The Lord Bingham of Cornhill.

The preparation of an arbitrator's award requires a rigorous approach to the consideration of submissions and evidence, and to the decisions stemming from that consideration, and the arbitrator must be competent to draft a valid and enforceable award.

These tasks can be complex for any arbitrator, particularly so for the less experienced. This book has been written to provide clear and practical guidance, whilst emphasising that there is no standard method of preparing or writing an award. It includes illustrations relating to a wide range of types of award.

It will be of interest to all arbitrators and those involved in the process, whether they are concerned with commodities, insurance, maritime matters, rent disputes, construction or commerce.

‘Drawing on his long and practical experience [the author gives] guidance which only the foolhardy would reject without good reason for doing so. With this manual beside him, many an arbitrator will, I feel sure, sleep the sounder.’ - The Rt Hon The Lord Bingham of Cornhill.

The preparation of an arbitrator's award requires a rigorous approach to the consideration of submissions and evidence, and to the decisions stemming from that consideration, and the arbitrator must be competent to draft a valid and enforceable award.

These tasks can be complex for any arbitrator, particularly so for the less experienced. This book has been written to provide clear and practical guidance, whilst emphasising that there is no standard method of preparing or writing an award. It includes illustrations relating to a wide range of types of award.

It will be of interest to all arbitrators and those involved in the process, whether they are concerned with commodities, insurance, maritime matters, rent disputes, construction or commerce.

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Publish date: Apr 15, 2008
Added to Scribd: May 29, 2013
Copyright:Traditional Copyright: All rights reservedISBN:9781405144803
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07/21/2014

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9781405144803

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