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Introduction1

1 Key Aspects of Set-off7

Ⅰ Definition7

Ⅱ Significance and Functions of Set-off9

A Set-off as a Means of Economic Efficiency9

B Set-off as an Equitable Instrument10

C Set-off Providing Security11

Ⅲ Significance of Set-off in Modern Business Life12

A Set-off Agreements in Banking Law12

B Importance of Unilateral Set-off13

Ⅳ Modern Problems with Set-off14

A Jurisdictional Questions14

B Choice-of-law Questions18

Ⅴ Terminology19

A 'Set-off' Versus 'Compensatio'19

B 'Set-off' Versus 'Counterclaim'20

C 'Cross-claim; 'Cross-demand; and'Counter-demand'22

2 Set-off in a Comparative Survey23

Ⅰ Incipiencies: Roman Law23

A Introduction23

B Development24

C Operation of Set-off in Roman Law—The Various Stages26

i Iudicia Bonae Fidei26

ii Iudicia Stricti Iuris28

iii Special Cases29

iv Set-off Under Justinian30

a Development of the Roman Post-classical Judicial System30

b Ex officio Compensatio?31

The Dispute over 'Ipso Iure Compensatur'31

The Significance of the Ipso Iure-Dispute in the 21st Century32

c Allegation of Fact or Submission of Claim?33

d The Requirement of Ascertained Claims('Liquidity') as a Tool of Discretion34

e Connectivity and Similarity of Claim and Cross-claim?34

D Observations and Comments35

i Set-off as a Procedural Mechanism in(Pre-)Classic Roman Law35

ii Set-off Asserted in Court: Assertion of a Countervailing Right or Assertion of a Fact?36

iii Judicial Discretion36

iv Summary and Outlook37

Ⅱ Set-off in the Romanic Legal Systems37

A Historical Development38

i Introduction38

ii Customary Law39

iii Canon Law42

iv Written Law43

v Summary43

B Set-off Under the Code Civil (CompensationLégale)45

i Operation Ipso Iure?45

ii Requirements47

a Ascertainment of Claims (Liquidity)47

Uncertainties Regarding the Degree of Ascertainment47

Uncertainties Regarding the Relevant Point in Time49

b Reciprocity50

c Similarity of Obligations51

d Enforceability of Primary Claim and Cross-claim52

e Set-off Must Not Be Excluded by Law or by Agreement53

f The Role of Connectivity of Primary Claim and Cross-claim54

iii Effect of Legal Set-off55

iv Summary55

C Set-off by Agreement (Compensation Conventionelle)56

D Judicial Set-off (Compensation Judiciaire) =Counterclaim56

E Set-off in the Avant-Projet Catala58

F Set-off in Other Romanic Legal Systems59

i Overview59

ii Automatic Extinction of Concurring Debts59

iii Ascertainment of Claims61

G Summary61

Ⅲ Set-off in the Germanic Legal Systems62

A Historical Development63

B Set-off in the German Codification65

i Operation by Extra-judicial Declaration66

a Principal Rule66

b Set-off Declaration in Court(Prozessaufrechnung)66

Set-off Brought in Court as an Allegation of Fact66

Set-off Brought in Court as an Assertion of a Right67

ii Requirements of Set-off69

a Reciprocity69

b Similarity of Obligations70

c Validity, Maturity, and Enforceability of Cross-claim72

The Principle72

Statute of Limitations72

Enforceability of Cross-claim Only73

d Obstacles to Set-off74

e Ascertainment of the Cross-claim?75

f Connectivity of Primary Claim and Cross-claim?76

g Interplay of Ascertainment and Connectivity of Claims77

iii Retroactive Effect of Set-off78

C Set-off in Switzerland79

i Historical Development79

ii Operation by Extra-judicial Declaration81

a Principal Rule81

b Set-off Declaration in Judicial Proceedings(Prozessaufrech ung)81

iii Requirements82

a Reciprocity82

Principal Rule82

Exceptions83

b Similarity of Obligations84

Money Debts84

Other Obligations85

c Validity, Maturity, and Enforceability of Cross-claim85

d Obstacles to Set-off87

e Not Required: Ascertainment and Connectivity of Claims87

iv Retroactive Effect of Set-off89

D Summary of German and Swiss Law of Set-off89

E Set-off in Austria90

i Introduction90

ii Set-off ipso iure?91

iii Requirements92

a General Overview92

b In Particular: Ascertainment of Cross-claim Required?94

iv Effect of Set-off95

v Summary95

F Jurisdictions with Similar Set-off Concepts97

G Set-off by Agreement97

H Counterclaim98

I Summary99

Ⅳ Set-off in England and English-based Jurisdictions100

A Statutory Set-off101

i History101

ii Operation102

iii Requirements103

a Mutuality103

b Money Debts104

c Ascertainment of Claims105

d Maturity and Limitation106

e Obstacles to Set-off106

f Not Required: Connectivity107

iv Effect of Statutory Set-off108

v Summary108

B Abatement109

i Historical Development109

ii Scope of Application110

iii Connectivity110

iv Ascertainment of Claims111

v Operation111

vi Summary and Practical Significance111

C Equitable Set-off112

i Introduction112

ii Operation113

iii Requirements114

a General Prerequisites; 'Arising Out of the Same Transaction'114

b The 'Equity' Element115

c Ascertainment of Claims116

d The 'Equity Element' and Liquidity as Discretionary Instruments116

iv Effect117

D Relevance of Court Rules117

i Mere Regulation of Practice and Procedure117

ii Misunderstandings in Case Law118

E Contractual Set-off120

F Counterclaim121

G Summary121

Ⅴ Comparative Analysis123

A Set-off as a Mainly Substantive Instrument123

B Broad Spectrum of Complex Rules124

i Different Operation Mechanisms124

a The ipso iure Operation125

b The Self-help or Declaration Mechanism125

c The Judicial Mechanism126

ii Requirements of Set-off in Comparison126

iii Possible Effects of Set-off127

C Conclusions127

3 Set-off in the Conflict of Laws129

Ⅰ.Determination of the Applicable Law in International Arbitration129

A Development and Current Theories129

i Application of the Lex Loci Arbitri129

ii Application of the Conflict of Laws Rules Which the Tribunal Considers Appropriate131

a Development131

b Application of the Choice-of-law Rules at the Seat of Arbitration132

c Cumulative Application of All Conflicts Rules Involved in the Dispute133

d Application of'General Principles of Private International Law'133

iii Application of the (Substantive) Law Which the Tribunal Considers Appropriate134

a The Principle134

b Application of a Specific National Law135

c Application of More Than One National Law ( tronc commun)135

d Application of A-National Rules of Law135

B Comparison of Law-determination Methods in Arbitration and State Court Proceedings136

Ⅱ Law-determination for Set-off in Classic Conflict of Laws138

A Application of the Lex Fori139

i England140

ii United States141

B Application of the Law of the Primary Claim142

i Switzerland142

a Principal Rule142

b Primary Claim Arising Out of a Contract143

c Primary Claim Not Arising Out of a Contract143

ii EC-Regulation on the Law Applicable to Contracts (Rome Ⅰ)144

C Cumulative Approach146

i Introduction146

ii The Original Concept and Its Variations148

D Other Models150

i Application of the Law of the Claim Which Existed First150

ii Application of the Law of the Claim Which Arose Second150

iii Application of the Lex Loci Solutionis151

iv Application of the More Set-off Friendly Law151

Ⅲ Criteria for a Suitable Rule to Determine the Law Applicable to a Set-off in International Arbitration152

A Respecting Party Autonomy153

B Ensuring Predictability153

C Eliminating the Possibility of Manipulative Tactics153

D Enhancing Practicability154

E Providing Comprehensiveness154

F Avouching Appropriateness154

i 'Appropriateness' in Classic International Contract Law—European Traditionalism and American Theories154

ii 'Appropriateness' of Choice-of-Law Rules in International Arbitration157

iii 'Appropriateness' with Regard to Choice-of-Law Rules for Set-off in International Arbitration158

a Choice-of-law Fairness Considerations in the Traditional Conflicts Rules158

b Possible Fairness Considerations When Determining the Law in International Arbitration158

Introduction158

Functions of Set-off158

Implications159

Ⅳ Discussion of Classic Choice-of-Law Rules With Regard to Set-off160

A The Lex Fori/Lex Loci Arbitri Approach Under Scrutiny161

i Practicability161

a In State Court Proceedings161

b In International Arbitration162

ii Predictability163

iii Avoidance of Using Tactics163

iv Appropriateness?164

v Summary166

B The Primary Claim Approach Under Scrutiny167

i Predictability and Practicability?167

a Depending on Contingencies167

b Appropriate for Other Set-off Concepts?168

Judicially Operating Set-off168

Ipso iure Set-off169

c Aspects Governed by the Primary Claim's Law170

d Foreign Law of Set-off Partially Settled in Substantive and Partially in Procedural Law171

ii Elimination of Manipulation?172

iii Appropriateness172

iv Summary173

C The Cumulative Approach Under Scrutiny174

i Introduction174

ii Practicability175

iii Predictability and Elimination of Manipulative Tactics175

iv Appropriateness176

D The Theory of Applying the Law of the Claim Which Existed First Under Scrutiny177

E The Doctrine of Applying the Law of the Claim Which Arose Second Under Scrutiny177

F The Application of the Lex Loci Solutionis Under Scrutiny178

G The Proposal to Apply the More Set-off Friendly Law Under Scrutiny178

H Conclusions179

Ⅴ Other Choice-of-Law Solutions in International Arbitration180

A The Cumulative Application of Conflicts Rules180

B The Tronc Commun Approach182

C Application of A-National Law183

i Introduction183

ii The ICC Case No 3540 of 1980184

D Discussion of the Tronc Commun Approach and the Application of A-National Law185

i Appropriateness185

a Undisguised Consideration of Substantive Appropriateness Criteria185

b Avoidance of 'Nationalisation' of the Dispute186

ii Practicability, Predictability and Avoidance of Manipulation Tactics188

a 'Ad Hoc Distillation' of Similarities Versus One Unvarying General Principle of Set-off as the Basic Question188

b Advantages of Ad Hoc Distillation188

c Disadvantages ofAd Hoc Distillation188

ICC Case No 5971: an Illustrative Example188

Temptation to Oversimplify190

Temptation to Misinterpret190

d Progressive Summary191

e Advantages of Advanced Voie Directe191

f Disadvantages of Advanced Voie Directe192

g Summary194

E Fleshing Out a Uniform Set-off Concept194

i The 'Creeping' Codification of General Principles194

ii Overview of Laws and Sets of Rules Based on Comparative Analysis198

a UNIDROIT Principles (PICC), Principles of European Contract Law (PECL), and Draft Common Frame of Reference(DCFR)198

Introduction198

Operation of Set-off200

Requirements201

Similarity201

Reciprocity201

Performability of the Primary Claim, Maturity of the Cross-claim202

Exclusion and Waiver of the Right of Set-off203

Liquidity and Connectivity203

Effect204

b The Principles of the Gandolfi Group204

c The Netherlands NBW205

iii Comparative Analysis206

a Operation of Set-off206

b Similarity, Reciprocity, Enforceability of the Claims206

c Exclusion of Set-off208

d Liquidity and Connectivity209

e Effects of Set-off211

f Results213

Ⅵ Summary214

4 Conclusions216

5 Final Summary219

Bibliography229

Index249