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Towards a Uniform Approach to Confidentiality of International Commercial Arbitration

Part of the book series: European Yearbook of International Economic Law ((EYIELMONO,volume 7))

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Abstract

The purpose of the present section is to set out a list of existing sources for confidentiality obligations in international commercial arbitration. While we will discuss them in greater detail in subsequent sections, in this section we will provide a short explanation as to the place and role of each source.

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Notes

  1. 1.

    See, for example, Art. 30.1 LCIA Rules: ‘Unless the parties expressly agree in writing to the contrary […]’.

  2. 2.

    Born (2014), p. 2783.

  3. 3.

    Born (2014), p. 2787.

  4. 4.

    Born (2014), p. 2787.

  5. 5.

    Smeureanu (2011), pp. 9–10.

  6. 6.

    Haas and Kahlert (2015), para 27.

  7. 7.

    Webster and Bühler (2014), para 23–64.

  8. 8.

    Born (2014), p. 2791.

  9. 9.

    Born (2014), p. 2789; Lew (2011), The Arbitrator and Confidentiality, 3.

  10. 10.

    UNCITRAL Notes, para 32.

  11. 11.

    IBA Guidelines for Drafting International Arbitration Clauses, para 61.

  12. 12.

    IBA Guidelines for Drafting International Arbitration Clauses, para 64.

  13. 13.

    De Ly et al. (2012), pp. 381–383.

  14. 14.

    De Ly et al. (2012), p. 381.

  15. 15.

    IBA Guidelines for Drafting International Arbitration Clauses, para 65.

  16. 16.

    De Ly et al. (2012), p. 383.

  17. 17.

    Lew (2011), The Arbitrator and Confidentiality, 4.

  18. 18.

    Derains and Schwartz (2005), p. 286.

  19. 19.

    Report of the Working Group on Arbitration and Conciliation on the work of its forty-sixth session, paras 127–133.

  20. 20.

    Report of the Working Group on Arbitration and Conciliation on the work of its forty-sixth session, paras 127–133.

  21. 21.

    Report of the Working Group on Arbitration and Conciliation on the work of its forty-sixth session, paras 129–131.

  22. 22.

    Nesbitt and Darowski (2015), p. 558.

  23. 23.

    Dimolitsa (2009), Obligation of Confidentiality on Parties, 9.

  24. 24.

    Nesbitt and Darowski (2015), p. 558.

  25. 25.

    Nesbitt and Darowski (2015), p. 558.

  26. 26.

    See under letter (b) of Introduction to the former Swiss Rules on International Arbitration of 2004.

  27. 27.

    Rohner and La Spada (2013), Commentary of Art. 44 of the Swiss Rules, para 1.

  28. 28.

    Currently, Art. 44(3) Swiss Rules.

  29. 29.

    Art. 44(3) Swiss Rules.

  30. 30.

    Rohner and La Spada (2013), Commentary of Art. 44 of the Swiss Rules, para 10.

  31. 31.

    Rohner and La Spada (2013), Commentary of Art. 44 of the Swiss Rules, para 17.

  32. 32.

    Rohner and La Spada (2013), Commentary of Art. 44 of the Swiss Rules, para 20.

  33. 33.

    Art. 6 of the Appendix I and Art. 1 of the Appendix II to the ICC Rules.

  34. 34.

    Calvo Goller (2012), p. 337.

  35. 35.

    Fry et al. (2012), para 3-807.

  36. 36.

    Derains and Schwartz (2005), p. 285; Müller (2005), p. 222.

  37. 37.

    Fry et al. (2012), para 3-807.

  38. 38.

    Fry et al. (2012), para 3-808; Derains and Schwartz (2005), p. 286.

  39. 39.

    Fry et al. (2012), para 3-808; Derains and Schwartz (2005), p. 286.

  40. 40.

    Smeureanu (2011), p. 17.

  41. 41.

    Art 54 WIPO deals with specific measures with regard to disclosure of trade secrets and other confidential information.

  42. 42.

    See, for example, Swiss Private International Law Act, Swedish Arbitration Act of 1999, English Arbitration Act of 1996, Russian Law On International Commercial Arbitration of 1993, USA Federal Arbitration Act.

  43. 43.

    By 2005, some 50 states adopted the UNCITRAL Model Law (Sanders 2005, p. 443).

  44. 44.

    Sanders (2005), p. 456.

  45. 45.

    Rapport du Secrétaire général sur les éléments éventuels de la Loi type sur l’arbitrage commercial international, Annuaire de la Commission des Nations Unies pour les droit commercial international, Volume XII, 1981, deuxième partie, 95–96.

  46. 46.

    Sanders (2005), p. 456, 476; Dimolitsa, Obligation of Confidentiality on Parties, 13.

  47. 47.

    Rapport du Secrétaire général sur les éléments éventuels de la Loi type sur l’arbitrage commercial international, Annuaire de la Commission des Nations Unies pour les droit commercial international, Volume XII, 1981, deuxième partie, 95–96.

  48. 48.

    Dimolitsa (2009), Obligation of Confidentiality on Parties, 13.

  49. 49.

    See, for example, for Switzerland: Jolles and Canals de Cediel (2004), p. 93; Bucher and Tschanz (1988), para 115.

  50. 50.

    Report on the Arbitration Bill, in Merkin and Flannery (2014), pp. 433–444.

  51. 51.

    AAY and others v AAZ AS, High Court, Suit [Y], Case No. [2009] SGHC 142, 15 June 2009, 54.

  52. 52.

    Arts 14A ff NZAA.

  53. 53.

    This list is not exhaustive; it is mainly based on the ‘Privacy and Confidentiality in Arbitration Smart Charts’ (www.smartcharts.wolterskluwer.com, last updated in November 2016).

  54. 54.

    Arts 22 (3), 23C, 23D, 23E, 23F, 23G before the 2015 amendment of the AIAA.

  55. 55.

    Art, 22(2) AIAA; Nottage (2017), pp. 1–2; Shirlow (2015), p. 2.

  56. 56.

    Sam Luttrell, Isuru Devendra in their report on Australian regulation in ‘Privacy and Confidentiality in Arbitration Smart Charts’ (www.smartcharts.wolterskluwer.com, last updated in November 2016).

  57. 57.

    Art. 14 NZAA.

  58. 58.

    Kawharu (2008), p. 406.

  59. 59.

    Nisja (2008), p. 190.

  60. 60.

    See, e.g., Art. 24(2) of Spanish Arbitration Act 60/2003.

  61. 61.

    Art. 4(5) of the Law of the Republic of Kazakhstan on International Arbitration of 2004.

  62. 62.

    See more developments on the role and importance of case law in international arbitration in Besson (2016a), Evolution of Case Law, 46–50.

  63. 63.

    Dolling-Baker v. Merrett [1990] 1 WLR 1205; Ali Shipping v. Shipyard Trogir [1997] EWCA Civ 3054; Emmott v. Wilson & Partners Limited [2008] EWCA Civ 184.

  64. 64.

    In Switzerland, Arts 394 ff CO on the Agency Contract apply to a contract between the parties and the arbitrators; for more details, see below Sect. 3.3.2.1.2.

  65. 65.

    Art. 22(3) of the ICC Rules.

  66. 66.

    See, for example, Born (2014), p. 2813; Tjio (2009), pp. 14–15; Hwang and Chung (2010), Confidentiality in arbitration, 1 [of the electronic version].

  67. 67.

    Derains (2009), Evidence and Confidentiality, 67–68.

  68. 68.

    Lew (2011), The Arbitrator and Confidentiality, 3.

  69. 69.

    Kaufmann-Kohler (2007), p. 362.

  70. 70.

    Kaufmann-Kohler (2007), p. 363.

  71. 71.

    Kaufmann-Kohler (2007), p. 363.

  72. 72.

    Kaufmann-Kohler (2007), p. 374.

  73. 73.

    Kaufmann-Kohler (2007), p. 378.

  74. 74.

    Kaufmann-Kohler (2007), pp. 375–376.

  75. 75.

    Born (2014), p. 3827.

  76. 76.

    See, e.g., Perret (2007), p. 28, with further references.

  77. 77.

    Kaufmann-Kohler (2007), p. 364; Paulsson (1990), Lex mercatoria, 81–93; Berger (2010), Lex Mercatoria, 14, 128, 142, 169.

  78. 78.

    Gaillard (2011), p. 161.

  79. 79.

    Gaillard (2011), p. 162.

  80. 80.

    Paulsson (1990), Lex mercatoria, 78–81.

  81. 81.

    Kaufmann-Kohler (2003), p. 1321.

  82. 82.

    See below Sect. 3.2.3.

  83. 83.

    See below Sects. 4.5 and 3.3.3.2.

  84. 84.

    Lew et al. (2003), p. 553.

  85. 85.

    Forword to IBA Rules on Evidence.

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  1. Lausanne, Switzerland

    Elza Reymond-Eniaeva

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Reymond-Eniaeva, E. (2019). Sources. In: Towards a Uniform Approach to Confidentiality of International Commercial Arbitration. European Yearbook of International Economic Law(), vol 7. Springer, Cham. https://doi.org/10.1007/978-3-030-19003-3_2

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